Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-02121 Carolyn Turner Respondents Hearing Site: Los Angeles, California Robert H. Osur Centaurus Financial, Inc. Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Carolyn Turner, hereinafter referred to as "Claimant": Jules Leo Federman, Securities Arbitration Representation, Santa Barbara, Califo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard W. Tumbull (Claimant) vs. CIBC Worid Martlets Corp. (Respondent) Case Number: 10-01016 Hearing Site: New Yorl^, New Yorl^ Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Richard W. Tumbull, hereinafter referred to as "Claimant": Laurence S. Moy, Esq., Outten & Golden, LLP. New York, NY. Respondent CIBC Worid Markets Corp., hereinaf

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: CCO Investment Services Corp. (Claimant) vs. Jaime Baumler (Respondent) Case Number: 10-00327 Hearina Site: Buffalo, New Yoric Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant CCO Investment Services Corp., hereinafter referred to as "Claimant": David M. Belcher, Esq. and Christine Fitzgerald, Esq., Belcher, Stan* & Fitzgerald LLP, Boston,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number. 10-00083 David N. Harvey and Sharon L. Harvey, Individually and as Trustees for the Harvey Family Trust Dated 08/30/06 Name of Respondents Hearing Site: San Francisco, Caiifomia Wells Fargo investments, LLC Wells Fargo Bank, NA Matthew Medeiros Nature of Dispute: Customers vs. Member, Associated Person and Non-Member REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jerome S. Schwartz vs. Case Number: 10-02562 Hearing Site: Houston, Texas Names of Respondents NelsonReid, Inc., David Hayden, Jaime Xavier Coronado, and Chase Investment Services Corp. (as successor to WM Financial Services, Inc.) NATURE OF THE DISPUTE Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Jerome S. Schwar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02587 Wachovia Securities, LLC Name of the Respondent Hearing Site: San Francisco, California Michael Angel Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": Timothy N. Will, Esq., Albert & Will, LLP, Torrance, California. Respond

Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Name of Claimants Case Number: 10-01475 Luis Alvira H. Justin Drobenaire Name of Respondents Hearing Site: San Francisco, California Iron Capital Securities, LLC Iron Capital Holdings LLC Jason Ryan Blum Dixon Doll. Jr. Don Basile Henry Wolfgang Carter Nature of Dispute: Associated Persons vs. Member, Associated Persons and Non-Members REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David Marconi vs. Name of Respondent Peter Gaetano Amato Case Number: 10-04943 Hearing Site: Houston, Texas NATURE QF THE DISPUTE Customer vs. Associated Person REPRESENTATION (?F PARTIES David Marconi ("Claimant" or "Marconi") was represented by Michael Floreani, Esq., Fioreani & Moreland, LLP, Wimberely, Texas. Peter Gaetano Amato ("Respond

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Peter Kortemeyer vs. Case Number: 10-00258 Hearing Site: Chicago, Illinois Name of Respondent Charles Schwab & Co., Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Peter Kortemeyer ("Claimant") was represented by Laurence S. Schultz, Esq., Driggers, Schultz & Herbst, PC, Troy, Michigan. Charles Schwab & Co., Inc. ("Re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Citigroup Global Maricets, Inc. d/b/a Smith Barney vs. Case Number: 09-03430 Hearing Site: Cleveland, Ohio Name of Respondent/Counter-Claimant Patrick Murray NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets. Inc. d/b/a Smith Barney ("Claimant") was represented by Catania