Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-05603 Judy Calufetti Names of the Respondents Hearing Site: Fort Lauderdale, Florida Merrill Lynch. Pierce Fenner & Smith, Incorporated Susan Gottlieb Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Judy Calufetti, hereinafter referred to as "Claimant": Russell L. Forkey, Esq.. Russe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Turbo Investors, LLC (Claimant) v. Cohmad Securities Corporation, Robert M. Jaffa, Maurice J. Cohn, and Marcia B. Cohn (Respondents) Case Number: 09-05485 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Turbo Investors. LLC, hereinafter referred to as "Claimant": Bruce D. Oakes, Esq. and Ri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mathias John Hawkins, Sr. (Claimant) v. Toussaint Capital Partners, LLC (Respondent) Case Number: 10-02985 Hearino Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Mathias John Hawkins. Sr., hereinafter referred to as "Claimant" appeared pro se. Respondent Toussaint Capital Partners, LLC, hereinafter referred to as

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03775 Morgan Stanley Smith Barney LLG (Glaimant) vs. James Kevin McKinlay, Jr. (Respondent) REPRESENTATION OF PARTIES: For Glaimant: Mauricio S. Beugelmans, Esq., Hand Baldachin & Amburgey LLP, New York. NY. Respondent did not enter an appearance. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 23,2010. CASE SUMMARY: Glaimant asserted the following cause of action: Breach of promissory

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Francis W. Fry and Judith Fry vs. Case Number: 09-04750 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Advest, Inc., Banc of America Securities, LLC. Stephen Michael Maher, and George John Dusckas, Jr. NATURE OF THE DISPUTE Customers vs. Members and Associated Persons REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Allan Dale Flowers, Independent Executor of The Estate of Elsie Caldonia Flowers vs. Case Number: 09-07137 Hearing Site: Dallas, Texas Names of Respondents A.G. Edwards & Sons, LLC f/k/a A.G. Edwards & Sons, Inc. and Wachovia Securities, LLC and Name of Third-Partv Claimant A.G. Edwards & Sons, LLC f/k/a A.G. Edwards & Sons, Inc.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kevin J. Afnan vs. Case Number: 09-06154 Hearing Site: Cleveland, Ohio Names of Respondents H&R Block Financial Advisors, Inc. n/k/a Ameriprise Advisor Services, Inc. and Ameriprise Financial Services, Inc. NATURE OF THE DISPUTE Associate Person vs. Members REPRESENTATION OF PARTIES Kevin J. Afnan ("Claimant") was represented by Andrew A. Kab

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03694 Mary Ellen Gabor (Claimant) vs. Emir Culov and HSBC Securities (USA) Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, E. Amherst, NY. For Respondents appeared Meredith L. Friedman, Esq., HSBC Securities (USA) Inc., New York, NY. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: August 14, 2010 CASE SUMMARY: Claimant asserted the following causes of action

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bounty International Limited, Good Regent International Limited, and Wisdom Century Development Limited (Claimants) vs. Goldman Sachs & Co. (Respondent) Case Number: 05-01577 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Bounty International Limited ("Bounty"), Good Regent International Limited ("Good Regent"),

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-07059 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of Respondent Hearing Site: Los Angeles, Califomia Jeffrey Marvin Davis Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant" or "Wa