AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Nanfie of Claimant Ameriprise Financial Services. Inc. vs. Name of Resoondent Shawn Menz Case Number: 09-05832 Hearing Site: Columbus, Ohio NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Financial Services, Inc. ("Clalmanr) was represented by Edward Walton, Esq., Ameriprise Financial Services, Inc., Detroit, Michigan.

Award FINRA Dispute RMolutlon In the Matter of the Arbitration Between: NgmflaofthBCfalmanta CflW NjirPber; 08-03671 Jimmy W.Ackerman David M. Solger Judith W.Solger Name of the Raaoondant Heaiino Site: Tamoa. Florida Rok>ert S. Dokken, Jr. Nature of the Dispute: Customer vs. Associated Person. REPRESEMTATIOW OF PARTIES For Jimmy W. Ackerman ("Adcennan"), Oavid M. Sotgar ("D. Solger^ and Judith W. Solger fj . Solger^, hereinafter coHe

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Rose F. Welsz vs. Case Number: 09-02561 Hearing Site: Houston, Texas Name of Respondent UBS Financial Sen/ices, Inc. NATVR5 QF THE DISPUTE Customer vs. Member Rose F. Weisz ("Claimant") was represented by Robert E. Goodman, Jr., Esq., and James N. Francis. Esq., Francis Goodman, PLC, Dallas, Texas, as of on or about August 21, 2009. Claimant was

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05366 Howard Braff (Claimant) vs. Peter David Downey (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Holtsville, NY. Respondent appeared pro se, Northport, NY. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: September 14. 2009 CASE SUMMARY; Claimant asserted the following cause of action: breach of agreement. Claim Data Award Data Claim: $1,819.25 Award: $910.

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04746 SagePoint Financial, Inc. (Claimant) vs. John H. Heil (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Joseph Rimac, Esq., San Francisco, CA and Barry R. Temkin. Esq., Mound Cotton Wollan & Greengrass. New York, NY. Respondent appeared pro se, Carisbad. CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 12, 2009 CASE SUMMARY; Claimant asserted the following causes of action

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Douglas D. Vender Weide vs. Names of Respondents Richard J. Keeling, Robin Marshall, and David Jesse Case Number 09-02187 Hearing Site: Des Moines, Iowa Associated Person vs. Associated Persons Douglas D. Vander Welde ("Claimant") was represented by Michael A. Dee, Esq., Brown, Winick, Graves, Gn>ss, Basl^ervllle and Schoenebaum, P.L.C., Des Moin

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 09-00081 Hearing Site: Dallas, Texas Name of Respondent William Eariy Van Cleve Member v. Associated Person REPRgSENTATIQN OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Gregory B. Simon, Esq., Kane & Fischer, Ltd., Chicago, Illinois. William Eariy Van Cleve ("Respondenr) was represen

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Piper Jaffray & Company, Incorporated vs. Case Number: 08-02601 Hearing Site: Minneapolis, Minnesota Names of Respondents / Counter-Claimants Stifel NIcolaus & Company, Incorporated, David B. Holden, Lindsay L. Paine, Michael H. Pellicci, John L. Kuny, Zigmund C. Peret, Neil A. Koepcke, John S. Pinto, Christopher R. Peterson,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration BehA/een: Name of Claimant Thelma Louise Gainer vs. Names of Respondents NYLife Securities, LLC, Primevest Financial Services, Inc., and Robert C. Koeller Case Number 08-01318 Hearing Site: Chicago. Illinois Customer vs. Members and Associated Person Thelma Louise Gainer ("Claimant") was represented by Joel M. Weiner, Esq., Law Offices of Joel M. Weiner, LLC, Palatine, Il

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenhelmer & Co.. Inc. (Claimant) vs. Richard J. Riccio (Respondent) Case Number: 08-03302 Hearina Site: New York, New Yori^ Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenhelmer & Co., Inc., hereinafter referred to as "Claimant": Diana Sur, Esq., Oppenhelmer & Co., Inc, New York, NY. Respondent Richard J. Riccio hereinafter referre