AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant /Counter-Respondent Citigroup Global Markets. Inc., successor to Leg Mason Wood Walker, Inc. vs. Case Number: 08-04169 Hearing Site: Pittsburgh, Pennsylvania Name of Resoondent/Counter-Claimant Lloyd Laughlin and Name of Third-Partv Claimant Lloyd Laughlin vs. Names of Third-Partv Respondents Kenneth M. Ross and Timothy P. Miller Mem

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants Kenneth A. Schwieterman and Holley A. Schwieterman vs. Names of Respondents Charies Schwab & Company, Inc., and Thompson Investment Advisors and Case Number: 08-01764 Hearing Site: Louisville, Kentucky Name of Third-Partv Claimant Charies Schwab & Company, Inc. vs. Name of Third-Partv Respondent Thompson Investment Advisors MATURE O

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: TD Ameritrade, Inc. (Claimant) vs. Robert E. Bonds (Respondent) Case Number: 09-04106 Hearina Site: Boston. Massachusetts Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant TD Ameritrade, Inc., hereinafter referred to as "Claimant": R. Matthew Ingraham, Esq., TD Ameritrade, Inc., Bellevue, NE. Respondent Robert E. Bonds, hereinafter referred to as "Res

Stipulated Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of the Claimant Case Number 0SW450 Wells Fargo Investmente, LLC Name of the Respondent Hearing Site: IJOS Angeles, Califomia Derek J. Diteni Nature of Dispute: IMember vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Investmente, LLC, hereinafter referred to as "Claimants or "Wells Fargo': O. Oaxton White, Esq., Kane & Fische

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-00708 Jeffrey B. IHorowitz. Tnjstee of the The Horowitz Family Trust Respondents Hearino Site: San Francisco. Calrfbrnla E*Trade Securities LLC Steven S. Christensen Robert B. Trent Jerry P. Anderson Marcus J. Hernandez Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Jeffrey B.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number 09-00588 Alan J. Yaghdjian Mireille Yaghdjian Name of the Respondent: Hearing Site: San Diego, CalHbmla Charies Schwab & Co.. Inc. Nature of the Dispute: Customere vs. Member REPRESENTATION OF PARTIES Claimants Alan J. Yaghdjian and Mireille Yaghdjian hereinafter collectively refened to as "Claimants": Kenneth H. Stone, Esq., Law Of

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Claimants: Case Number: 08-03952 Crisostomo ("Tom") B. Garcia Crisostomo B. Garcia Trust Respondents: Hearino Site: San Diego, Califomia Gilford Securities Incorporated Stephen B. Kaplan Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Crisostomo ('Tom") B. Garcia, and Crisostomo B. Garcia Trust, hereinafter

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-00999 Wachovia Securities, LLC Respondent Hearino Site: San Diego. California Stephen P. Whitman Counter-Claimant Stephen P. Whitman Counter-ResDondent Wachovia Securities, LLC Nature of the Dispute: Memk>er vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wachovi

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number 09-00405 J.D. Benefield, Individually and as Tmstee of the Benefield Family Trust UAD 3/4/04 Mary 1. Benefield. Individually and as Trustee of the Benefield Family Tmst UAD 3/4/04 Name of the Respondents: Hearing Site: Lx)s Angeles, California Wachovia Securities, LLC Stifel, Nicolaus & Company, Incorporated Manuel D. Lozano David P. Lu

Award FINRA Disputa Resolution In the Matter of the Arbitration Between: Claimants Dale Seaman Gina Seaman Beaman Family Living Trust D and G Momentum, LLC ResDondents Ameriprise Financial Sen/ices, Inc. Walter Lee Coulter, 11 Momentum Investment Group, LLC Coulter Capital Management, LLC Coulter Capital Management. Inc. Cross-Claimant Ameriprise Financial Services, Inc. Cross-ResDondent Walter Lee Coulter, II Case Num