AWARD FINRA DISPUTE RESOLUTION CASE: 09-03308 TD Ameritrade, Inc., a New York Corporation (Claimant) vs. Kristina Goldfield, an Individual (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared R. Matthew Ingraham, Esq.. TD Ameritrade, Inc., Bellevue. NE. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Customer. DATEFILED: June4, 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cheryl Lynne Radey, Franl^ H. Radey III, and Patricia L. Radey (Claimants) vs. J.B. Hanauer & Co. (Respondent) Case Number: 08-03608 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Cheryl Lynne Radey ("C. Radey"), Frank H. Radey III ("F. Radey"), and Patricia L. Radey ("P. Radey"), hereinafter collectively

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01020 John K. Stahl (Claimant) vs. Fidelity investments Institutional Services Company. Inc.. and Fidelity Brokerage Sen/ices LLC. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Del Mar, CA. For Respondents appeared Diane M. Brown, Fidelity Brokerage Sen/ices Company, Inc., Boston, MA. NATURE OF DISPUTE: Customer v. Members DATE FILED: February 14. 2009 CASE SUMMARY: Claimant alleged tha

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01546 Lincoln Investment Planning, Inc. (Claimant) vs. Linda Joan Bailey (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Joshua S. Ganz, Esq., Timoney Knox. LLP. Fort Washington, PA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 20, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of Step Draw Agree

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03442 Kent M. Forkner (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Hingham, MA. For Respondent appeared Erin K. Fair, Fidelity Brokerage Services LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 5, 2009 CASE SUMMARY: Claimant asserted the following causes of action: failure to execute and system error. The causes of a

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Waretown Properties. LLC (Claimant) vs. E*Trade Securities LLC and Clayton Grant Rimmer (Respondents) vs. Highgate Equities LLC and Abraham Frankl (Third-Party Respondents) Case Number: 08-02498 Hearing Site: New Yori^. New Yorit Nature of the Dispute: Initial Claim: Customer vs. Member and Associated Person. Third-Party Claim: Member and Associated Person vs. Customers. RE

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dan Wittman vs. Name of Respondent Citigroup Global Markets Inc. d/b/a Salomon Smith Barney Inc. Case Number: 06-01762 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Dan Wittman ("Claimanf or "Wittman") was represented by Bruce D. Oakes, Esq. and Richard Fosher, Esq., Oakes & Fosher, LLC,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mitzl J. Gammill vs. Case Number: 09-02581 Hearing Site: Dallas, Texas Names of Respondents Don Friday, and Edward D. Jones & Co., L.P. Customer vs. Member and Associated Person Mitzl J. Gammill ("Claimant" or "Gammiir) appeared pro se. Don Friday ("Friday") and Edward D. Jones & Co., L.P. ("Edward Jones"), collectively referred to as "Respondent

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00767 Anthony Peterman (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Austin. TX. For Respondent appeared John Bersin. Esq., E*Trade Securities LLC, Roseville. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 11. 2009 CASE SUMMARY: Claimant asserted the following cause of action; failure to transfer shares. The cause of action relates to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00855 Janney Montgomery Scott, LLC Name of the Respondent Hearino Site: Boca Raton, Florida Ronald K. Summers Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott, LLC, hereinafter referred to as "Claimant": Amy E. SpanDw. Esq., Stradley Ronon Stevens & Young, LLP, Philadelphia, Pe