Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 09-01512 David Wolteon Living Tmst UAD 4/2/90 Name of the Respondente: Hearing Site: Los Angeles. Caiifomia Stockcross Financial Sen^ices, Inc. Thomas B. Cooper Peter L. Boom Nature of the Dispute: Customer vs. Member and Associated Pereons REPRESENTATION OF PARTIES Claimant. David Wolfson Living Trust UAD 4/2/90. hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-03249 Felton A. Ferrini Living Tnjst Respondente Hearino Site: San Francisco, Carrfomla RBC Capitel Markete Corporation Harry Edward Fischer Nature of the Dispute: Customer vs. Member and Associated Pereon REPRESENTATION OF PARTIES Claimant, Felton A. Fenini Living Tmst, hereinafter refened to as "Claimant": Roger B. Frederickson, Esq., Sinshe

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number 09-00378 Vasu D. Arora Respondente Hearing Site: San Francisco, California TD Ameritrade, Inc. Joseph Hugh Moglia Nature of the Dispute: Customer vs. Member and Associated Pereon REPRESENTATION OF PARTIES Claimant, Vasu D. Arore, hereinafter referred to as "Claimant": Vasu D. Arora, San Jose, Caiifomia. Respondents, TD Ameritrade, inc. ("TD

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimante Case Number 08-03742 Amold P. Jonas and Emma M. Jonas Respondente Hearing Site: Los Angeles, Califbmia WM Financial Services, Inc. Robert G. Fogarty AIG Annuity Insurance Company Nature of the Dispute: Customere vs. Member, Associated Pereon and Non-Member REPRESENTATION OF PARTIES Claimante, Arnold P. Jonas and Emma M. Jonas, hereinafter collectively refe

Award FINRA Dispute Resolution In the Mattera of the Art)itrations Between: Name of the Claimants: Keith M. Goldstein Marie F. Augusta Dennis A. Contrestano Cydney I. Crampton Patrick G. Howell Anthony W.Ross Thomas W. Van Dyck Michael P. Swenson Jack R. Swenson Ronald M. Daly Steven K. Chariston Bamey J. Cohen Bradley C. Fisher Stephen C. Hlrd Davki J. Lehrer Michael A. Luby, Jr. Michael D. Pattereon Scott

AWARD FINK^ DIsputs Resolution In the Matter of the Arbitration Between: Name of Claimant Steven R. Sorensen vs. Name of Respondent Citigroup Global Maricets, inc. d/b/a Smith Bamey Case Number: 09-00196 Hearing Site: Omaha, Nebrasl< a NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Steven R. Sorensen ("Claimant") was represented by Richard P. Jeffries, Esq., Cline, Williams, Wright, Johnson & Oldfather

AWARD FINRA Dispute Resolution in the Matter of the Arisitration Between: Names of Claimants James R. Smith and Carol A. Smith vs. Name of Respondent Wachovia Securities, LLC Case Number: 08-04559 Hearing Site: l-louston, Texas NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES James R. Smith and Carol A. Smith ("Claimants") were represented by Bruce Oakes, Esq., Oakes & Fosher, LLC, Bethaito, Illinois. Wachovia

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Signal Securities, Inc. vs. Case Number: 08-03977 Hearing Site: Dallas, Texas Names of Respondents Calton & Associates. Inc. and David L. Beck NATURE OF THE DISPUTE Member vs. Member and Associated Person REPRESENTATION OF PARTIES Signal Securities, inc. fCiaimanr) was represented by Gilbert W. Boyce, Esq., Kutak Rock. LLP, Washington, DC.

STIPULATED AWARD FINRA DIapute Resolution In the Matter of the Arbitration Between: Name of Ciaimant Chase Investment Services Corp. vs. Case Number: 07-01310 i-learing Site: Charleston, West Virginia Names of Respondents Woodbury Financial Services, inc., Phiiiip C. Morgan. Greg W. Cox, and Michael A. Frontino NATURE OF THE DISPUTE Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Chase Investment Services Co

Award FINRA DIapute Resolution In the l\4att6rof the Arbitration Between; Name of the Claimant Case Number 08-03576 Christine Dann, as Toistee fbr the Christine iVI. Dann Tmst U/A DTD 10/04/06 Name of the Respondent Hearing Site: Oriando, FL Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Christine Dann, as Trustee fbr the Christine M. Dann Trust U/A DTD 10/04/06, hereinafte