AWARD FINRA DISPUTE RESOLUTION CASE: 09-05686 Joseph R. and Bemadette M. Rogers (Claimants) vs. Ameriprise Financial Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Bethlehem, PA. For Respondent appeared Edward Walton, Esq., Ameriprise Financial Sen/ices, Inc., Detroit, Ml. NATURE OF DISPUTE: Customers v. Member DATE FILED: September 29, 2009 CASE SUMMARY: Claimants asserted the following causes of action: breach

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Julie D. Gerowltz (Claimant) vs. Citigroup Global Maricete. Inc., Alan Howard Ulan, and Michael S. Lee (Respondente) Case Number: 09-01757 Hearino Site: New Yori^, New Yoric Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Julie D. Gerowltz ("Claimant"): Charies R. Jacob III. Esq., Miller & Wrubel P.C..NewYoric,NY. Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimanta gfls? Numfr^P 0»^2643 Walter Bel Carol Bell Name of the Respondent Hearing Site: Oriando, Florida Wachovia Securities, LLC Nature of the Dispute: Custoniervs. Memt>er. REPRESENTATION OF PARTIES For Walter Bell and Carol Bell, hereinafter coliectiveiy refenned to as Claimants": Neal J. Blaher, Esq., Law Office of Neal J. Blaher, MalUand. FL

AMvard FINRA Dispute RMolutlon In the Matter of the ArbttFfltlon Between: Name of the Claimant Caae Numlaer. 08-03051 Desa Trading Co., S.A. NamaaofthaRiHffiOTlirrtft HMrinflSlte; Miami, Florida Advanced Trading Seivioes, U-C Southweat Securttlea, Inc. Carios Manuel Garcia Nature of the Dispute: Customer vs. Non-Memt)er, Member and Associated Person. WEPRESEMTATIOM OF PARTJES For Desa Trading Co., S A , hereinaflar referred to as t^laknan

AWARD FINRA Dispute Reeolutlon in the Matter of the Arbitration Between: Name of Claimant Richard W. Johnson vs. Case Number 09-03577 Hearing Site: Minneapoiia, Minnesota Namea of Reaoondenta First Midwest Securities, Inc., Woodstock Financial Group, Inc., and Michael Wittenberg MATURE OFTHE DISPUTE Customer vs. Members and Associated Person REPRESEMTATIOM QF PARTIES Richard W. Johnson ("Claimant^ was represented by Michael S. Mac

AWARD FINRA Dteputo Reeolutlon In the Matter of the Art)itration Between: Name of Claimant Chase Investment Sen/Ices Corp. vs. Case Number 09-05554 Hearing Site: Cleveland, Ohio Names of Resoondente Living Well Financial Group, Inc. and Daniel J. Bloom MATlJRgQFTHgDISPUTg Member v. Non-Member and Associated Person RgPRgSgWTATIQM QF PARTIgS Chase Investment Services Corp. C^ISC" or "Claimanf) was represented by Barton A. Bixenstine

AWARD FINRA Dteputo Reeolutlon In the Matter of the Ariottratton Bebween: Namea of Ctoimante Robert D. Young and Anne B. Young ve. Caee Number 08-04884 Hearing Stte: Loulaviito, Kentudcy Names of Resoondente Morgan Keegan and Company, Inc. and Robert A. A. Brewer MATURgQFTHEDIgPUTg Customers vs. Member and Aaaocteted Person RgPRESEMTATION QF PARTIES Robert D. Young and Anne B. Young ("Ctoimanto") were represented tyy Chariee G. Ml

AWARD FINRA Dtoputo Reeolutlon In the Matter of the Arbttration Behiveen: Name of Claimant Guentiier Roth vs. Namea of Reapondente Ameriprise Finendal Services, Inc. and Davto Tysk Caae Number 08-04425 Hearing Stte: Minneapoiia, Minneaote NATURE OF THE DISPlfTE Customer vs. Member and Associated Person REPREfiENTATION OF PARTIES Guenther Roth ("Claimanir) waa represented by TTiomaa E. Jamlaon, Eaq., Fruth, Jamison & Eisass, PLLC,

AWARD FINRA Dtoputo Reeolution In the Matter of the Arbttration Between: Names of Ctelmante Gerald Worden and Robyn Worden vs. Case Number. 07-03546 Hearing Stte: Detrott, Michigan Names of Resoondente GunnAlten Financial, Inc., Frank J. Bluestein, Quester Capttal Corporation, Maximum Financial Group, Inc., and F.F., Inc. and Name of Cross-Ciaimanl/Croaa-ResDondent GunnAlton Financial, inc. vs. Name of Croaa-Resoondent/Cross-C

AWARD FINRA Dtoputo Resolution in the Matter of the ArtMtratton Between: Name of Claimant Wells Fargo Invesbnente, LLC vs. Case Number 09-04483 Hearing Site: Houston, Texaa Name of Respondent Michael D. Anoyoe NATORE OF THE PISPUTE Member vs. Associated Person REPRESENTATION QF PARTIE8 Welte Fargo Invesbnente, LLC ("Welte Fargo" or "Cteimant") waa represented tiy Diane C. Fischer, Esq., Ronald P. Kane, Esq., and Jason R. Lindsay, Kane