AWARD FINRA DISPUTE RESOLUTION CASE: 10-03967 Morgan Stanley Smith Barney ("Claimant") vs. Gregory John Januleski ("Respondent") REPRESENTATION OF PARTIES: Morgan Stanley Smith Barney ("Claimant" or "Morgan Stanley") was represented by Samuel P. Mauch, Esq., Sarestky Hart Michaels & Gould, PC, Birmingham, Michigan. Gregory John Januleski ("Respondent" or "Januleski") did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 2,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John Winston and Cathy Winston vs. Case Number: 09-05955 Hearing Site: St. Louis, Missouri Names of Respondents Charles Schwab & Co., Inc. and James Scott Link NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES John Winston and Cathy Winston ("Winstons"), hereinafter collectively referred to as "C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-05926 Solomon and Bessie Feffer Trusts Amnon P. Feffer Name of Respondents Hearing Site: Los Angeles, Califomia Buckman, Buckman & Reid, Inc. First Clearing Corporation National Financial Services LLC Fidelity Investments Institutional Services Company, Inc. Name of Counter-Claimants _ . Buckman, Buci^man & Reid, Inc.

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02387 Wells Fargo Advisors Financial Networic, LLC, f/k/a Wachovia Securities Financial Networi< , LLC Name of Respondent Hearing Site: San Francisco, Califomia Bradley Everett Gardner Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors Financial Network, LLC, f/k/a Wacho

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-03595 Kovack Securities, Inc. Name of the Respondent Hearing Site: Tampa, FL Marco A. Caporale Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Kovack Securities, Inc. ("Kovack"), hereinafter referred to as "Claimant": Brian J. Kovack, Esq., Kovack, Ft. Lauderdale, FL, Marco A. Caporale ("Caporale

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Roy Cook VS. Names of Respondents Baker Tilly Virchow Krause, LLP, Baker Tilly Capital, LLC, and Baker Tilly Investment Advisors, LLC and Name of Claimants Case Number: 09-05477 Hearing Site: Chicago, Illinois Consolidated with: Baker Tilly Virchow Krause, LLP f/k/a Virchow Krause & Company, LLP, Baker Tilly Capital, LLC, and Baker Ti

Case Number: 10-03028 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Associated Person vs. Customer REPRESENTATION OF PARTIES Ellis Nurogar Liddeil ("Claimant") appeared pro se. Margaret Grifflth ("Respondent") appeared pro se. CASEJNEQSMATIQN The Statement of Claim was filed on or about July 1,2010, The Submission Agreement of Claimant, Ellis Nurogar Liddell, was signed on or about May 27. 2010. The Statement of Answer was filed by Respondent

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joel LaGore vs. Names of Respondents Morgan Stanley Smith Barney, Morgan Stanley & Company, Inc., Smith Barney, a division of Citigroup Global Markets, Inc., Terrence Andrysiak, and Davis Vallie and Name of Counter-Claimant Smith Bamey, a division of Citigroup Global Markets, inc. vs. Name of Counter-Respondent Joel LaGore

AWARD FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of Claimant Oppenheimer & Co., Inc. vs. Case Number: 09-05259 Hearing Site: Dallas, Texas Name of Respondent Mark Steven Gardner NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Oppenheimer & Co., Inc. ("Claimant" or "Oppenheimer") was represented by John T. McGuire, Esq., Oppenheimer & Co., Inc., New Yoric, New Yori< . On or abou

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-04558 Lisa Detanna Name of Respondent Hearing Site: Los Angeles, California Doreen Levine Nature of the Dispute: Associated Person vs. Customer REPRESENTATION OF PARTIES Claimant, Lisa Detanna. hereinafter refen-ed to as "Claimanf: Scott E. Rahn, Esq., Greenberg Traurig, LLP, Santa Monica, Califomia. Respondent, Doreen Levine, hereina