Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-03670 Robert R. Banks Robert R. Banks IRA Vita Banks Vita Banks IRA Name of Respondent Hearing Site: San Diego, California Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Robert R. Banks, Robert R. Banks IF^, Vita Banks, and Vita Banks IRA, her

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05763 John P. Fowlds and Brenda J. Fowlds (Claimants) vs. PNC Investments, LLC f/k/a NatCity Investments, Inc., and James Galloway (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Richard A. Stephens, Esq., Law Office of Richard A. Stephens, Beech Mountain, NC. For Respondents appeared Brian A. Carlis, Esq., Stark & Stark, P.C., Princeton, NJ. NATURE OF DISPUTE: Customers vs. Member and Associated

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00380 Dale Gibbons (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Phoenix, AZ. For Respondent appeared l\/leredith A. Faro, Esq., FMR LLC, Boston, MA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 29, 2011 CASE SUMMARY: Claimant alleged that Respondent breached its contractual obligations by closing a short position in an account

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ira Robb, Individually and as General Partner of Iracini Equity, LP, and as Beneficiary of the Ira Robb Rollover IRA, Edward W. Leshin, as Beneficiary of the Edward W. Leshin Rollover IRA, and Leonard and Kimberiy Almaiech, as Co-Trustees of the Almaiech Living Trust vs. Case Number: 10-02252 Hearing Site: Chicago, Illinois Names of Respondents

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Raymond Masiliunas vs. Case Number: 10-00728 Hearing Site: Chicago, Illinois Name of Respondent Morgan Stanley Smith Barney, LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Raymond Masiliunas ("Claimant") was represented by Sandor L. Grossman, Esq., Law Offices of Sandor L. Grossman, Chicago, Illinois. Morgan

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of Claimants Case Number: 10-01641 Kurt Bochner, individually and on behalf of Bochner Oakwood Plaza LLC and K.B. Trust LLC Name of Respondents Hearing Site: Los Angeles, California Kenneth Ray McDonald Crown Capital Securities L.P. Nature of the Dispute: Customers vs. Associated Person and Member REPRESENTATION OF PARTIES Claimants, Kurt Bochner, individually and o

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimants Case Number: 10-01449 Lang Velka Philip Velka Respondents Hearing Site: Los Angeles, California James Michael Onr Christopher Shawn Beckett UBS Financial Services Inc. Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants. Lang Velka and Philip Velka, hereinafter referred to collectively as "Claimants": L

Award FINRA Dispute Resolution In the Matter of the Ari3itration Bebveen: Name of Claimants Case Number: 10-02024 Muri Trust Mary K. Byrnes Jakob Muller Name of Respondents Hearing Site: Phoenix, Arizona Morgan Stanley Smith Barney Robert John Gaines James Joseph Fontanilla Andrew James Siegel Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Muri Tmst, Mary K. Byrnes ("Byrnes")

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Claimant Case Number. 07-03310 Carlo A. Carrion Respondents Hearing Site: Los Angeles, California UBS Financial Services Inc. Randall K. Grossblatt Barry Bayat Joseph J. Grano, Jr. Michael A. Davis Scott M. Flanagan John W. Orr Justin D. Krane Steven Wood Judy Louie Marcel Rohner Edward M. Kerschner John Costa Mark B. Suton Stephanie Mo

AMENDED AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Ann C. Fox vs. SWS Financial Services, TD Ameritrade, Inc. and Jerry Clark Case Number: 10-03041 SITUS: Orlando, FL. NATURE OF DISPUTE: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Ann C. Fox, hereinafter referred to as "Claimant": Philip J. Snyderburn, Esq., Snyderburn, Rishoi & Swann, LLP, Maitland, FL. For Respondent SWS Financial Service