AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Edmund J. Chrostowski vs. Case Number: 10-02367 Hearing Site: Detroit, Michigan Names of Respondents UBS Financial Services Inc. and Philip Bocketti, Jr. NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Edmund J. Chrostowski ("Claimant") was represented by Peter C. Rageas, Esq., Law Offices of Peter C.

AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant KCD Financial, Inc. vs. Names of Respondents American Beacon Partners, Inc., James Amold Hintz, Pelion Securities Corporation, and Steven Mark Salzman Case Number: 10-02161 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Member vs. Members and Associated Persons REPRESENTATION OF PARTIES KCD Financial, Inc. ("Claimant" or "KCD")

AWARD FINf^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley & Co.. Incorporated vs. Case Number: 10-01885 Hearing Site: Dallas, Texas Name of Respondent Richard K. Lewie NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Incorporated ("Claimant") was represented by Ronald Kane. Esq. and David Smith, Esq., Kane & Fischer, Ltd.. Chicago, Illinoi

AWARD FINiRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Hugh Gershon vs. Names of Respondents Wells Fargo Advisors, LLC and Morgan Stanley Smith Barney Case Number: 10-03151 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Hugh Gershon ("Claimant") was represented by Craig W. Horn, Esq., Braun Kendrick Finkbeiner P.L.C., Saginaw, Michigan. W

AWARD FINiRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Scott L. Olson vs. Case Number: 10-01803 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant World Equity Group, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Scott L. Olson ("Claimant" or "Olson") was represented by Alan M. Wolper, Esq. and Christopher D. Seps, Esq., Locke L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Southem Oklahoma Water Corporation vs. Case Number: 10-00270 Hearing Site: Dallas, Texas Name of Respondent RBC Capital Maricets, LLC IE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Southern Oklahoma Water Corporation ("Claimant") was represented by Joseph H. Bocock, Esq. and Dara K. Wanzer, Esq., McAfee & Taft, Oklahoma City, Oklahoma.

AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Beverly Edwards vs. Case Number: 10-00381 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley Smith Barney and Harvey R. Newton NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Beverly Edwards ("Claimant") was represented by Dawn R. Meade, Esq., The Spencer Law Firm, Houston, Texas. M

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Patricia Deramus Bunch, The Patricia Deramus Bunch Trust, Dawn Deramus Fogel, and The Dawn Deramus Fogel Trust vs. Case Number: 09-06505 Hearing Site: Kansas City, Missouri Names of Respondents Berthel, Fisher & Co. Financial Services and J. Richard Matheis NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Chicago Investment Group, LLC vs. Case Number: 09-04261 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant Cinthia Faye Collins NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Chicago Investment Group, LLC ("Claimant") was represented by Howard J. Rosenburg, Esq., Kopecky, Schumache

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Edgar W. ("Bill") Hagerty and Joann D. Hagerty, Individually and as Trustees of the Edgar W. Hagerty Trust and the Joann Didik Hagerty Trust, EWH Investments, LLC, and JDH Investments, LLC vs. Case Number: 09-03429 Hearing Site: Omaha, Nebraska Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Kathryn Schubert, and Ronald J. Las