Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Smith Barney, LLC (Claimant) vs. Mark D. Mensack (Respondent) vs. Morgan Stanley & Co., Inc., Peter Prunty, and Rich Maratea (Third-Party Respondents) Case Number: 10-01687 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Initial Claim: Member vs. Associated Person. Third-Party Claim: Associated Person vs. Member and Associated Persons. REPRESENTATIO

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00886 Thomas N. Anderson Name of the Respondent Hearing Site: Fort Lauderdale, Florida Fred Alger & Company, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Thomas N. Anderson, hereinafter referred to as "Claimant": Neil L. Henrichsen, Esq. and Natalie M. Koss, Esq., Henrichsen Siegel, P.L.L.C., Wash

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05640 Rudolph Texas Investments, Inc., as General Partner of Douglas M. Rudolph Partners, Ltd. Respondent Hearing Site: Miami, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Rudolph Texas Investments, Inc., as General Partner of Douglas M. Rudolph Partners, Ltd., herein

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Ameriprise Financial Services, Inc. Case Number: 09-05498 Name of the Respondent Todd Feldman Hearing Site: Washington, D.C. Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Edward B. Magarian Esq. and Jana E. Bruder Esq., Dorsey & Whitn

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-02095 Braden Partners, L.P. by and through JBB, Inc., its General Partner James Braden as Trustee U/A DTD 04/27/2000 Grant Braden Education Trust James Braden as Trustee U/A DTD 02/01/2007 Elsa Gaze Braden Trust Respondents Hearing Site: Atlanta. Georgia Merrill Lynch, Pierce, Fenner & Smith, Inc. Joshua E. Krentzman Nature of the Dispute

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Othello Capital Partners LP and Othello Capital GP, LP vs. Case Number: 08-03816 Hearing Site: Dallas, Texas Name of Respondent Penson Financial Services, Inc. Name of Counter-Claimant Penson Financial Services, Inc. vs. Names of Counter-Respondents Othello Capital Partners LP Othello Capital GP. LP. Jackson Su and Othello Capita

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard W. Fahs, II (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 09-06623 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member Public Arbitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES Claimant Richard W. Fahs, II, hereinafter referred to as "Claimant": Nicholas J. Guiliano, Esq., Guiliano Law

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Giovanni Savinovich (Claimant) vs. Banc of America Investment Services Inc., John M. Lee, and Gordie Jamieson (Respondents) Case Number: 09-06329 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Giovanni Savinovich, hereinafter referred to as "Claimant": John A. Daniels, Esq., Daniels & Daniels,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04748 Joseph H. Roe (Claimant) vs. Chase Investment Services Corp. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared D. Daxton White, Esq., The White Law Group, LLC, Chicago, IL. For Respondent appeared Elizabeth M. Hill, Esq., Ulmer Berne LLP, Cleveland, OH. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 18, 2010 CASE SUMMARY: Claimant asserted the following causes of action: unsuitable

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Michael Greenfield (Claimant) vs. Ronald Edward Hardy and Westpark Capital, Inc. (Respondents) Case Number: 09-06732 SITUS: New York. New York NATURE OF DISPUTE: Customer v. Associated Person and Member. REPRESENTATION OF PARTIES Michael Greenfield, hereinafter referred to as "Claimanf: Paul Radvany, Esq., Lincoln Square Legal Services, Inc., New York, NY. Westpark Capita