AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant William P. Doran vs. Case Number: 09-00450 Hearing Site: Dallas, Texas Names of Respondents RBC Wealth Management, a division of RBC Capital Markets Corporation and J. Thomas Miller NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES William P. Doran ("Claimant" or "Doran") was represented by Mark H. How,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05737 John L. Norris & Vivianne Norris JT Ten John L. Norris Charles Schwab & Co., Inc. Cust IRA Rollover Vivianne Norris Charles Schwab & Co., Inc. Cust IRA Rollover Names of the Respondents Hearing Site: Birmingham, AL Charles Schwab & Co., Inc. Kimon P. Daifotis Nature of the Dispute: Customer vs. Member and Associated Pe

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06430 Ameriprise Advisor Services, Inc. Name of the Respondent Hearing Site: Tampa. Florida Joseph A. Jackson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Advisor Services, Inc., hereinafter referred to as "Claimant": Larry J. Lipka, Esq., Kane & Fischer, Ltd., Chicago, Illin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-06111 Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondents/Counter-Claimants Hearing Site: Honolulu, Hawaii Carl E. Choy Lynne R. Kinney Ronald C. Wo Name of Third-Partv Claimant Erin Rae Choy Name of Third-Party Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Di

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number. 09-05396 Edward Blackoff, Trustee of the Revocable Living Trust of Edward and Sasa Blackoff NNN Aventura Harbor 14 LLC Name of Respondents Hearing Site: Los Angeles, California Jeffrey S. Gunnan Damien P. Gallagher Grubb & Ellis Securities, Inc. Woodbury Financial Sen/ices, Inc. Name of Counter-Claimant Grubb & Ellis Securities, Inc

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Michael Skakun a/k/a Michael Chaim Skakun (Claimant) vs. Janney Montgomery Scott and Scott E. Nuttall (Respondents) Case Number: 09-06456 Hearing Site: New York, New York Nature ofthe Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Michael Skakun a/k/a Michael Chaim Skakun, hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., Male

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent David Lehrer vs. Case Number: 10-01943 Hearing Site: Miiwaul< ee, Wisconsin Name of Respondent/Counter-Ctaimant Piper Jaffray & Company NATURE OF THE DISPUTE Associated Person v. Member REPRESENTATION OF PARTIES David Lehrer ("Claimant" or "Lehrer") appeared pro se. Piper Jaffray & Company ("Respondent" or "Piper Jafiray") was

AWARD FINRA DISPUTE RESOLUTION In the Matter of ttie Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Incorporated vs. James R. Lanier Case Number: 10-04830 SITUS: Jacksonville, Florida NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith, Incorporated, hereinafter referred to as "Claimant": Ken S. Massey, Esq., Rubin, Fortunate & Harbison, P.C, Paoli, PA. Respondent James R. Lanie

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02052 UBS Financial Services tnc. Name of the Respondent Hearing Site: Oriando, Florida Greg W. Harmon Nature ofthe Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": Brian S. Hormozi, Esq., Schuyler Roche & Crisham, PC, Chicago, Illinois. Greg W

STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 10-04701 Welts Fargo Advisors, LLC (Claimant) vs. Robert Curtis Nethery (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, lit, Esq., Welts Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Dallas, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 19, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory