AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Evelyn Kesler, Individually and in her capacity as Trustee of the Evelyn Kesler Revocable Living Trust vs. Case Number: 10-01093 Hearing Site: Detroit, Michigan Names of Respondents Sigma Financial Corporation and Robert Hardies NATURE OF THE DISPUTE Customer vs. Member and Associated Person RePREgENTATIQN OF PARTIES Evelyn Kesler, Indivi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03266 Estate of Orpheus Meranda Respondents Hearing Site: Memphis, TN David Gregory Schlager Edward Jones Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Estate of Orpheus Meranda, hereinafter referred to as "Claimant": Jason R. Creasy, Esq., Wilkerson Gauldin Hayes & Jenkins, Dyersburg, TN.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 10-00752 Marcy Tobin, an individual, and Goldie Anne Tobin, in her capacity as representative of the estate of Stanley Tobin Name of Respondents Hearing Site: Seattle, Washington Chase Investment Sen/ices Corp. Brandi Cohen Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants. Marcy T

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02919 Brad A. Beggarly, SEP-IRA Name of Respondent Hearing Site: Los Angeles, California Charles Schwab & Co, Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Brad A. Beggarly, SEP-IRA, hereinafter referred to as "Claimanf: Thomas D. Mauriello, Esq.. Mauriello Law Fimn, APC, San Clemente, California. Res

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05132 UBS Financial Services Inc. (Claimant) vs. Michael Maehl (Respondent) REPRESENTATION OF PARTIES: ^ For Claimant appeared Michael D. Lee, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Respondent appeared pro se, Spokane, WA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 10, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note and

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04548 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. John R. Arquette (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jay J. Price, Esq., San Francisco, CA and David H. Smith, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 11, 2010 CASE SUMMARY: Claimant assert

Amended Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Name of Claimant Case Number: 10-04911 Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondent Hearing Site: San Diego, California Daniel W. Crotta Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Edward G. Winsman, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01111 Charles Raney Respondent Hearing Site: Orlando, Florida SunTrust Robinson Humphrey, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Charies Raney, hereinafter referred to as "Claimant": Curtis Carison, Esq. and Charies A. Carlson, Esq., Carison & Lewittes. P.A., Miami, Florida and Joseph Alonso, E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-07122 Gray Ingram Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith incorporated Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Gray Ingram, hereinafter referred to as "Claimant": Scott J. Link, Esq., Ackemnan Link & Sartory, P.A.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Ciainnant Case Number: 10-03177 UBS Financial Services Inc. Name of the Respondent Hearing Site: Atlanta, Georgia David Marcus Baum Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": James L. Komie, Esq. and James J. McNamara, Esq., Schuyler Roche & Crisham, PC