AWARD FINRA Dispute Resolution In the Matter of the Arbitration Beh/veen: Name of Claimant Kevin W. Swallow vs. Names of Respondents Interactive Brokers, LLC and Timothy J. Collins and Name of Third-Partv Claimant Interactive Brokers, LLC vs. Names of Third-Partv Respondents Clarus Capital Partners, LLC and Timothy J. Collins Case Number: 10-02903 Hearing Site: Kansas City. Missouri NATURE OF THE DISPUTE Custome

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 10-01700 R. Kent Emigh. individually and as Trustee of the R. Kent Emigh Trust UA DTD 1/31/86 Respondents Hearing Site: San Francisco, California Wedbush Securities Inc. Lisa Ann Gallo Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant. R. Kent Emigh, Individually and as Trustee of the R. Kent Emigh T

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jay Moskowitz (Claimant) vs. BBS Securities, Inc. (Respondent) Case Number: 09-04041 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Jay Moskowitz. hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle & Robinson, LLP, New York, NY. Respondent BBS Securities, inc., hereinafter referred to as

Award FINRA Dispute Resolution in the Matter of the Arbitration Behveen: Name of Claimants Case Number: 10-00377 Anne W. Erickson Robert T. Erickson Name of Respondents Hearing Site: Seattle. Washington Strategic Capital Group LLC RP Capital LLC Ronald Jay Robertson Norman Gary Price Craig Douglas Johnsen TD Ameritrade, Inc. Nature of the Dispute: Customers vs. Members, Associated Persons, and Non-Member REPRESENTATION OF PARTIES

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Daniel M. Doyle, II vs. Name of Respondent Fifth Third Securities, Inc. Case Number: 10-05552 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Daniel M. Doyle, II ("Claimant") was represented by Roger W. Van Deusen, Esq., Van Deusen & Wagner, LLC, Cleveland, Ohio. Fifth T

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of Claimant Case Number: 10-00847 Linda Mellicker-Bhan Name of Respondents Hearing Site: Denver, Colorado Centaurus Financial, Inc. David Louis Klein Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Linda Mellicker-Bhan. hereinafter referred to as "Claimanf: Nisha S. Wright. Esq.. Stein & Stein. P.A.. Palm Beach, F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ed Hannon, Noel Hannon, Drew Hannon, and Brooke Hannon (Claimants) vs. Direct Trading Institutional, LP, WallStreet*E Financial Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Inc., Ridge Clearing & Outsourcing Solutions, Inc., Sean K. Hannon, and Epic Advisors, LLC (Respondents) Case Number: 09-06798 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Members

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00100 NEXT Financial Group, Inc. (Claimant) vs. Jonda Lowe (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Owen P. McGill, Esq., Shumaker, Loop & Kendrick, LLP, Tampa, FL. For Respondent appeared Clifford J. Hunt, Esq., Law Office of Clifford J. Hunt, P.A., Seminole, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 7, 2011 CASE SUMMARY: Claimant asserted the following

Av\^ard FINRA Dispute Resolution In the Matter of the Arbitration Between: Jeanette L. Kridel, and Jeanette Lores Kridel Trust (Claimants) v. Smith Barney a/k/a Citigroup Global Markets, Inc., Stephen P. Endlar, and William F. Dodge (Respondents) Case Number: 10-03684 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Jeanette L. Kridel ("J. Kridel") and Jeanette Loree K

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Daniel Kramer (Claimant) vs. Wachovia Securities, LLC, now known as Wells Fargo Advisors, LLC and Michael Cobb (Respondents) Case Number: 10-01209 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Daniel Kramer, hereinafter refen'ed to as "Claimant": Peter S. Pearlman, Esq., Cohn L'ifland Pearlman