Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William T. Copperill (Claimant) vs. Andrew J. Shapiro, Mitchell H. Sloane, and Westrock Advisors, Inc. (Respondents) Case Number: 09-07046 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant William T. Copperill, hereinafter referred to as "Claimant": Robert J. Boiler, Esq., Akin Gump Strauss Haue

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Behveen: Joseph Neira (Claimant) vs. Bristol Financial Sen/ices, Inc., Michael Hartzman, Northeast Securities, Inc., Bear Stearns Securities Corp., Randi Mason, and J.P. Morgan Clearing Corp. (Respondents) Case Number: 09-00795 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Joseph Neira, hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04269 Lionel Leitner, as trustee of the Lionel Leitner Revocable Trust account and the Lionel/Chariotte Leitner Family Trust accounts Chariotte Leitner, as trustee of the Chariotte Leitner Revocable Trust account and the Lionel/Charlotte Leitner Family Trust accounts and the Chariotte Leitner IRA Name of the Respondent Hearing S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02965 Julia J. Welier, Trustee, Florence E. Jordan Trust FBO George E. Jordan Jr. Names of the Respondents Hearing Site: Birmingham, AL Citigroup Global Markets, Inc. Gregory B. Alford Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Julia J. Weller, Trustee, Florence E. Jordan Trust

Award FiNIRA Dispute Resoiution In the Matter of the Arisitration Between: Dennis P. Gravelle (Claimant) vs. James Andrew Cummings (Respondent) Case Number: 09-05971 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Dennis P. Gravelle, hereinafter referred to as "Claimant": Booker T. Washington, Esq., UAW Legal Services Plans, Lockport, NY. Respondent James Andrew Cummings, herei

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05961 Charies W. Ott, as Trustee and Sole Beneficiary of the MBO Insurance Brokers, Inc. Profit Sharing Plan FBO Charles W. Ott Name of Respondents Hearing Site: San Francisco, Califomia Charles Schwab & Co., Inc. Kimon P. Daifotis Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Cha

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Claimants/Counter-Respondents Case Number: 10-01448 Merrill Lynch International Finance, Incorporated Merrill Lynch. Pierce. Fenner & Smith Incorporated Respondent/Counter-Claimant Hearing Site: San Diego. California David Lynn Nature of Disputes: Member and Non-Member vs. Associated Person Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-01528 Kay F. Red Horse Kay F. Red Horse Revocable Trust Charitable Remainder Trust of Kay F. Red Horse Name of the Respondent Hearing Site: Nashville, TN Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Kay F. Red Horse, Kay F. Red Horse Revocable Trust and Charitable Remain

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00366 Morgan Stanley Smith Barney LLC Name of the Respondent Hearing Site: Boca Raton, FL Primo Musumeci Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Morgan Stanley Smith Barney LLC ("MSSB"), hereinafter referred to as "Claimant": Tracy L. Gerber, Esq. and Elizabeth E. Moum, Esq., Greenberg Traurig, P.A.,

AWARD FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of Claimant Mary Elliott Brandin and Mary Elliott Brandin, Trustee of The Mary Elliott Brandin Trust dated 12/03/90 vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 09-07161 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES