Award FiNI^ Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04993 Raymond Madonna Maureen R. Madonna Name of the Respondent Hearing Site: Baltimore, Maryland Ameritas Investment Corp. Name of the Third Party Respondent Diana McKinney Nature of the Dispute: Customer vs. Member vs. Associated Person. REPRESENTATiON OF PARTIES For Raymond Madonna and Maureen R. Madonna, hereinafter refen-e

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00532 Branch Avenue Plaza, L.P. Names of the Responderrts Hearing Site: Richmond, VA United Securities Alliance, Inc. Royal Alliance Associates, Inc. Gary L. Ackerman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Branch Avenue Plaza. L.P., hereinafter refen^d to as "Claimant": W. Scot

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02500 Wachovia Securities LLC, ("Claimanf) vs. Sandra Pope, ("Respondenf} ATTORNEYS: For Claimant appeared Mictiael S. Colombo, President and CEO of StreetWide Asset Recovery Group, Inc., Lyndhurst. NJ. Respondent appeared pro se, RIdgefield. CT. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 17. 2008 CASE SUMMARY: Claimant alleged that Respondent failed to repay m

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Ameriprise Financial Services. Inc. vs. Lance Sloan Cooper Case Number: 08-01157 SITUS: Birmingham, Alabama. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: For Ameriprise Financial Services. Inc., hereinafter referred to as "Claimant": Will Stute, Esq., Faegre & Benson, LLP, Minneapolis, Minnesota. Lance Sloan Cooper, hereinafter referred to as

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Eleanor Taylor and Eleanor Taylor, IRA vs. Names of Respondents H&R Block Financial Advisors. Inc. n/k/a Ameriprise Advisor Services, Inc., Janney Montgomery Scott, LLC, and Michael James Howe Case Number: 07-02544 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Members and Associated Person REPRESENTATION OF PARTIE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-03274 Oppenhelmer & Co. Inc. Respondent Hearing Site: Los Angeles, Califbmia Edward M. McNally Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Oppenhelmer & Co. Inc. hereinafter referred to as "Clalmanf: Mitchell J. Albert, Esq., Albert & Will, LLP, Torrance, Califbmia. Respondent Edward McNally hereinafter

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Harold I. Weisberg, Co-Tmstee of the Harold I. Weisberg Tmst u/t/a dated 8/14/96 and Harold I. Weisberg, Co-Tmstee of the Marion S. Weisberg Trust u/t/a dated 8/14/96 vs. Names of Respondents Fidelity Brokerage Services LLC, Gary Michael Pryka. Amy Elizabeth Renk, and Anthony Justin Muccio Case Number: 08-00700 Hearing Site: Southfield, Mi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08656 Amelia May Evans Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Amelia May Evans, hereinafter referred to as "Claimant": William B. Young, J

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-03163 Robert Bonds and Gitda Bonds Respondents Hearing Site: Houston. Texas H&R Blocl( Financial Advisors Inc. and Robert Bullock Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Robert Bonds and Gilda Bonds, hereinafter collectively referred to as "Claimants": Dan K. Worthington, Esq.. Atla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Doran (Claimant) vs. Richard Hagopian and Ameriprise Financial Services, Inc. (Respondents) Case Number: 08-00941 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Peter Doran hereinafter referred to as "Claimant" appeared pro se. Respondents Richard Hagopian ("Hagopian") and Ameriprise