AWARD FINRA DISPUTE RESOLUTION CASE: 10-05558 Clyde Demazeliere (Claimant) vs. Morgan Stanley Smith Barney and Michael Gagliardi (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Edward A. Rodrigue, Esq., Boggs, Loehn & Rodrigue, Metairie, LA. For Respondents appeared Harper Robinson, Esq., Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customer vs. Member and Associated Person DATE FILED: December 8, 2010 CASE

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05734 Jon Ann Hockersmith (Claimant) vs. Morgan Stanley Smith Barney and Stephen Hendrie Ledyard (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Scottsdale, AZ. For Respondents appeared Wendy R. Robinson, Morgan Stanley Smith Barney, San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member and Associated Person DATE FILED: December 27, 2010 CASE SUMMARY: Claimant alleged that she was

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05675 Russell and Bette Gell (Claimants) vs. David Alan Witter and USA Financial Securities Corporation (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Rose M. Schindler, Esq., Buckingham, Doolittle & Burroughs, LLP, Boca Raton, FL. For Respondent David Witter appeared Eric A. Lanigan, Esq., Lanigan & Lanigan, PL, Winter Park, FL. For Respondent USA Financial Securities Corporation appeared G

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05254 UBS Financial Services Inc. (Claimant) vs. Hugh Blake-Thomas III (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael F. Braun, Esq., Schuyler, Roche & Crisham, P.C, Chicago, IL. For Respondent appeared Mark L. Kowalsky, Esq., Jaffa Raitt Heuer & Weiss, Southfield, Ml. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 18, 2010 CASE SUMMARY: Claimant asserted the

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04644 Florence G. Ford (Claimant) vs. Richard Joseph Proia (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Lauderdale Lakes, FL. Respondent appeared pro se, Deerfield Beach, FL. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED: October 18, 2010 CASE SUMMARY: Claimant asserted the following cause of action: churning. The cause of action relates to various annuities, including AIG

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Alan Klein Trustee of Alan J Klein Trust vs. Case Number: 10-03883 Hearing Site: Chicago, Illinois Names of Respondents TD Ameritrade, Inc. and TD Ameritrade Clearing, Inc. NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Alan Klein Trustee of Alan J Klein Trust ("Claimant") appeared pro se. TD Ameritrade, Inc. ("TDA") and

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Randall Vavrina, Janice Vavrina, Randall E. Vavrina Trust Account, and Bari^ara Vavrina vs. Case Number 10-03436 Hearing Site: Omaha, Nebraska Name of Respondent E^Trade Securities LLC NATURE QF THE PISPUTE Customers vs. Member REPRESENTATION OF PARTIES Randall Vavrina. Janice Vavrina. Randall E. Vavrina Trust Account, and Barbara Vavrin

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03757 Morgan Keegan & Company, Inc. (Claimant) vs. John Hagler Hopkins (Respondent) REPRESENTATION OF PARTIES: For Claimant Shea O'Brien Hicks, Esq., Morgan Keegan & Co., Inc., Memphis, Tennessee. For Respondent Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 19, 2010 CASE SUMMARY: Claimant asserted the following cause of action: Breach of promissory note.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John M. Colley and LaNita Coliey vs. Case Number: 09-6203 Hearing Site: Dallas, Texas Name of Respondent Morgan Keegan & Company, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES John M. Colley ("J. CoWef) and LaNita Colley ("L. Colley"), hereinafter collectively refered to as "Claimants," were represented by W. David Ca

AWARD FINRA DISPUTE RESOLUTION CASE: Arbitration Number 10-02159 Wells Fargo Advisors, LLC (Claimant) vs. John Jerome O'Hara (Respondent) REPRESENTATION OF PARTIES: For Claimant: Renan I. Sugarman. Esq., Renan Sugarman, P.C., Chicago, Illinois For Respondent: Respondent did not appear NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 5, 2010 CASE SUMMARY: Claimant asserted the following cause of action: Breach of promissory note.