FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04810 Michael Prevor Roth IRA, ('•Claimant") vs. ID Ameritrade, Inc., ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Michael Prevor, Boca Raton, FL. For Respondent appeared James J. Vihstadt, In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 16. 2008 CASE SUMMARY: Claimant alleged negligence as a result of Respondent's failure to ti

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00926 Richard and Carolyn Bland Name of the Resoondent Hearing Site: Bimningham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Richard ("R. Bland") and Carolyn (C. Bland) Bland, hereinafter collectively referred to as "Claimants": Debra Brewer Hayes, Esq. and Eric 0*S

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Chariene Thrasher vs. Case Number: 05-03310 Hearing Site: St. Louis, Missouri Names of Respondents American Express Financial Advisors, Inc., Reginald C. Grove, and Henry L. Broussard, Jr. NATURE OF Tl Customer vs. Member and Associated Persons REPRESENTATION QF pA^TIE^ Chariene Thrasher ("Claimant") was represented by Ira M. Potter, Esq., Doster

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Charies Anthony Sever vs. Name of Respondent Wachovia Securities, LLC Case Number: 07-01037 Hearing Site: Des Moines, Iowa NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Charies Anthony Bever ("Claimant") was represented by Michael McDonough, Esq.. Moyer & Bergman, P.L.C., Cedar Rapids, Iowa. Wachovia Securities,

AWARD FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of Ciaimant/Counter-Respondent ceo Investment Services Corp. vs. Case Number: 08-01672 Hearing Site: Detroit, Michigan Name of Resoondent/Counter-Ciaimant Michael R. Burns NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES CCO Investment Sen/ices Corp. ("Claimant" or "CCO") was represented by David Belcher. Esq. and Christine R. Fit

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lisa Ditkowsky vs. Case Number. 08-00263 Hearing Site: Chicago, Illinois Names of Respondents A.G. Edwards & Sons, Inc., Alan Dubrow, Robert Batchen, David Foriow, Melissa Keipsch, and Gary Chesin NATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Lisa Ditkowsky ("Claimant") was represented by 

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kathleen Ann Bronkalla vs. Case Number: 08-04071 Hearing Site: Chicago, Illinois Name of Respondent Fidelity Brokerage Services, LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Kathleen Ann Bronkalla ("Claimant") appeared pro se. Fidelity Brokerage Services, LLC ("Respondent" or "Fidelity") was represented by Cameron S

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Tim Bell vs. Case Number: 04-04494 Hearing Site: Houston, Texas Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Gnjbman MATURE OF THE DISPUTE Customer vs. Member and Associated Person Tim Bell ("Claimant") was represented by William B. Young, Jr.. Esq., Colling. Gilbert. Wright and Carter, Oriando,

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant: Case Number: 08-00892 Bear, Steams & Co. Inc. n/k/a J.P. Morgan Securities Inc. Name of the Respondent: Hearing Site: Los Angeles, Califomia Vivine H. Wang Nature of the Dispute: Member vs. Customer REPRESENTATiON OF PARTIES Claimant Bear, Steams & Co. Inc. n/i< /a J.P. Morgan Securities Inc. hereinafter referred to as "Claimant": Devin A. Donoh

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Claimant Case Number: 08-00659 Joan Davenport Francis Respondents Hearing Site: Phoenix, Arizona Neuberger Bemian, LLC Lisa H. Reed Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Joan Davenport Francis, hereinafter referred to as "Claimant": Michael W. Sillyman, Esq., Kutak Rock LLP, Scottsdale, Arizona. Resp