Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. (Claimant) vs. Anthony Orefice (Respondent) Case Number: 09-02278 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Mark J. Alonso, Esq., Catania T. Facher, Esq., and Lauren R. Fox, Esq., Alonso, Andalkar, Toro

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-04144 Banc of America Investment Services, Inc. n/k/a Merrill Lynch, Pierce, Fanner & Smith Incorporated Name of Respondent/Counter-Claimant Hearina Site: San Francisco, California Vince D. DiMaggio Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Clainnant/Counter-Respondent Banc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-04761 Morgan Stanley Smith Barney, LLC Name of Respondent Hearing Site: Las Vegas, Nevada Jamie Dick Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Barney, LLC, hereinafter referred to as "Claimant": Timothy N. Will, Esq., Albert & Will, LLP, Torrance, California. Respondent, Ja

AWARD FINRA Dispute Resolution In the Mafter of the Arbitration Between: Name of Claimant Don C. Miller, Donald C. Miller Charles Schwab & Co., Inc. Cust IRA Rollover, and Donald C. Miller Charies Schwab & Co., Inc. Cust Roth Contributory IRA vs. Case Number: 09-05758 Hearing Site: Chicago, Illinois Names of Respondents Charles Schwab & Co., Inc. and Kimon P. Daifotis NATURE OF THE DISPUTE Customer vs. Member and Associated Person

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant GLB Trading, Inc. vs. Case Number: 10-03740 Hearing Site: Dallas, Texas Names of Respondents Penson Financial Services, Inc., Computer Clearing Services, inc., and Richard Barto McCain NATURE OF THE DISPUTE Member vs. Members and Associated Person REPRESENTATION OF PARTiES GLB Trading, Inc. ("Claimant" or "GLB") was represented by Lori S. Vara

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00098 Edi Franceschini and Lucinda Franceschini Joint Tenants, Edi Franceschini, and Lucinda Franceschini (Claimants) vs. TI/\A-CREF Individual & Institutional Services, LLC (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Edi Franceschini, Mattituck, NY. For Respondent appeared Carranza M. Pryor, Esq., TIAA-CREF Individual & Institutional Services, LLC, Charlotte, NC. NATURE OF DISPUTE: Custom

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05317 Larry E. Tolbert and Jon C. Tolbert (Claimants) vs. Zions Direct, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Bluefield, WV. For Respondent appeared Leigh Davis-Schmidt, Zions Direct, Inc., Salt Lake City, UT. NATURE OF DISPUTE: Customers vs. Member DATE FILED: November 23, 2010 CASE SUMMARY: Claimants asserted the following causes of action: negligence, failure to supervise

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02988 Deanna Chesnut (Claimant) vs. James Gatto, Jeremy Reynolds, David Ackel, Lewis Arien Shuffler, Pat Robertson, Cal J. Smith, James N. Jackson, Wells Fargo Investments, LLC, Wells Fargo Investment Group, LLC, Wells Fargo & Company, Kathryn Bolner, and John Miller (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Cedar Park, TX. For Respondents appeared Vanessa M. Hoffman, Esq., Wells Fargo I

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Dr. irakli Glonti and David Dateshidze (Claimants) vs. RBC Dain Rauscher, Inc. (Respondent) Case Number: 10-02458 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Dr. Irakli Glonti ("Glonti") and David Dateshidze ("Dateshidze"), hereinafter collectively referred to as "Claimants": Arnold I. Kalman, Esq., Philadelphi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kari E. Hahn (Claimant) vs. Deutsche Bank Securities, Inc. (Respondent) Case Number: 09-04735 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Kari E. Hahn, hereinafter referred to as "Claimant" appeared pro se. Previously represented by Stephen F. Gordon, Esq., The Gordon Law Firm, Boston, MA. Previously