STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 10-05147 UBS Financial Services, Inc. vs. Keith G. Anderson REPRESENTATION OF PARTIES: For Claimant UBS Financial Services, Inc. ("UBS"): Brian S. Hormozi, Esq., Schuyler, Roche & Crisham, P.C, Chicago, Illinois. Respondent Keith G. Anderson ("Anderson") did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 11, 2010. CASE SUMMARY: Claimant asserted the cause of action of

AWARD FINRA Dispute Resolution In the Matter of the Ari3itration Between: Name of Claimant Thomas Laird vs. Case Number: 10-01502 Hearing Site: Minneapolis, Minnesota Names of Respondents RBC Capital Markets Corporafion, Gerry Means Hairgrove, James John Tricolli, and Stephen Jerome Yanisch NATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Thomas Laird ("Claimant") was represent

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert Bagby vs. Case Number: 09-04663 Hearing Site: Houston, Texas Name of Respondent Citigroup Global Martlets, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Robert Bagby ("Claimant") appeared pro se. Citigroup Global Markets, Inc. ("Respondent") was represented by Thomas D. Cordell, Esq., Hayne

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00587 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Kenneth Williamson, Jr. (Respondent) REPRESENTATION OF PARTIES: For Claimant Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC: Gregory S. Tendrich, Esq., Gregory Tendrich, P.A., Boca Raton, Florida. Respondent Kenneth Williamson, Jr. did not appear. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: February 8, 201

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03913 Mario Martinez, Trustee of the George H. and Marion P. Jones Trust Dated December 5,1985 Respondents Hearing Site: Phoenix, Arizona First Financial Equity Corporation Donald Richard Marshall Roselyn Marshall George Edward Fischer Sharon E. Fischer Nature of the Dispute: Customer v. Member, Associated Persons and Non-Members REPRESENT

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-06496 Metal Finishing Association of Southem Califomia Name of Respondents Hearina Site: Los Angeles, Califomia Evergreen Investment Sen/ices, Inc. Wachovia Securities, LLC Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant, Metal Finishing Association of Southern California, hereinafter referred to a

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00385 Richard Watts and Sally Warner Watts (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Mark A. Tapper, Esq., Mark A. Tapper, P.A., Fort Lauderdale, FL. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: January 26, 2011 CASE SUMMARY: Claimants

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00048 Wells Fargo Advisors, LLC (Claimant) vs. Joan Gerhardt (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael Naccarato, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Worcester, MA. NATURE OF DISPUTE: Member vs. Customer DATE FILED: January 4, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of Client Agreement. The cause of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-07149 Caroline Dufrin Names of the Respondents Hearing Site: Raleigh, North Carolina Allstate Financial Services, LLC Charles T. Snider Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Caroline Dufrin, hereinafter referred to as "Claimant": Christopher Mader, Esq., and Patrick Baldwin, Esq

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of Claimant Number; 11-00061 Wells Fargo Investments. LLC Name of Respondent Hearing Site: Phoenix, Arizona ICaream H. White Nature of the Dispute: Member vs. Associated Person RgPREljigNTAT^QH QF PAmiig Claimant. Weils Fargo Investments, LLC, hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer. Ltd., Chicago, Illinois. Respondent Kaream H.