Award FINRA Dteputo ReeoluSon In ttie Matter of the Arbitration Between: Cteimant/ Counter-ReaDondent AG. Edwards & Sons, Inc. Reapondente Michael Chris Ntelsen Use A. Evans Hert)ertC.Key8er,lil Donsid L. Johns Christopher S. Dralw Stifel, Nicolaus & Company, inc. Counterelalmant/ Third Party Cteimant Michael Chris Nteteen Gene Michael Dtedrich lAtechovte Securities, LLC Case Number. 07-02954 Hearing Site: San Francisco, C

Award FINRA Dteputo Reeoluflon In ttie Matter of the Art)itration Between: Cteimant Case Number. 09-03050 Shan Ral Kumar RasDondent Hgarjrig ?Hft; Seattte, Washington Ameriprise Financial Services, inc. Ameriprise Financial Sen/lces, inc Counter-Respondent Shan Ral Kumar Nature of the Dispute: Associated Person vs. Member Member vs. Associated Person REPRESENTATION OF PARHES Cteimant/Counter-Reapondent, Shan Ral Kumar, hereina

Award FINRA Dteputo Reaolution in the Matter of the Arisitratton Between: Name of the Cteimante C^&Jsmrn&fiEL 09-03250 Waiter Cote and Antoinette Cote JTTEN NameoftheReaoondente Hwrirw gite; Los Angetes, Califomta WMIs Fargo invesbnente, LLC Michael James McGraw Nature of the Diepute: Customers vs. Member and Associated Person RePRESeHTATWH OF P AHTIF? Clalmante, Walter Cote and Antoinette Cote JTTEN, hereinafter referred to as 'Cteimante

Award FINRA Dispute Resolution in the Matter of the Arisitration Between: Names of the Clalmante Case Number: 09-01532 J.P Morgan Securities, inc. J.P. Morgan Chase and Company Names of the Resoondente Hearing Site: New Orieans, l^uisiana Wachovia Securities, LLC Kevin F. Knobloch Shaun A. Bums James A. Poche Nature of the Dispute: Member and Non-Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For J.P Morgan Sec

Award FINRA DIeputo Reeolutlon In the Matter of the Art>itration BeNveen: Name of the Claimant Case Number. 09-01713 Mery Jo Buchanan Name of the Respondent HWPnfl git?: Boca Raton. Florida Ljeumi Investment Servicee, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Mary Jo Buchanan, hereinafter referred to as "Clalmantr: Marc S. Dobin. Esq. and James Duffy, ^. , Marc S. Dobin, P.A., Jupiter, Florida.

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Marilyn Hazell vs. Peak Securities Corporation Case Numt)er 10-01629 SITUS: Orlando, Florida NATURE OF DISPUTE: Customer vs. Terminated Member REPRESENTATION OF PARTIES: Marilyn Hazell. hereinafter rafsned to as "Claimant": Nicholas D. Thomas, Esq., Veto Beach, Florida. Respondent did not enter an appearance in this matter. DATE FIUED: April 27.2010. CASE SUMMARY: Claima

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Paiumbo (Claimant) vs. Ameriprise Financial Services, Inc. (Respondent) Case Number: 09-01789 Hearino Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Robert Paiumbo hereinafter referred to as "Claimant" appeared pro se. Respondent Ameriprise Financial Services, inc., hereinafter referred to as "Respondent": IHoward M

AWARD FINRA Dispute Resolution In the IMatter of the Ariaitration Between: Names of Claimante Mesirow Financial, Inc., Mesirow Financiai Hotoings, Inc., and Mesirow Financial Investment Management, inc. vs. Case Number 08-01652 Hearing Stte: Chicago, lilinoto Names of Respondente David J. Copeland, Neal H. Price, and Strategic Weatth Partners, LLC and Names of Counter-Claimante David J. Copeland and Neal H. Price vs. N

Award HNRA Dteputo Reeolutlon In ttie Matter of the Ari>ttratton Between: NameoftheClaknant Case Number 08-03005 Central Ftorida Invasttnente. Ina Name of ttie Respondent iJfiadoaSSSL Oriando, ftorida Oppenheimer & Co., Inc. Nature of ttie Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Central Ftorida Investmente, Ina. hereinafter referred to as 'Claimanf: Richard W. Epstein, Esq., Greenspoon Marder, P.A., Fort LjKjderdato, Ftori

Award FINRA DIeputo Reeolirtion In the Matter of the ArtHtratfon Between: Names of the Claimante Case Number 09-02e81 Edwin Minsky Barbara Minsky Edwin Minsky Tnist Barbara Minsky Tmst Name of the Respondent HwrtPB 9te; Boca Raton. Florida Morgan Stanley & (^., Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Edwin Minsky, BariE)ara Minsky, Edwin Minsky Tmst, and Bartuira Minsky Tmst, hereinaf