AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant TGS-NOPEC Geophysical Company vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 08-04427 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customer vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATiON OF PARTIES TGS-NOPEC Geophysical Company ("Claimant" or "TGS") was represented by Todd A.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Martin Bennett and Diana I. Bennett (Claimants) vs. Randy Jay Ross (Respondent) Case Number: 09-04246 Hearina Site: New Yorl^. New York Nature of the Dispute: Customers vs. Associated Person REPRESENTATION OF PARTIES Claimants Martin Bennett ("M. Bennett") and Diana I. Bennett ("D. Bennett"), hereinafter collectively referred to as Claimants": Liam O'Brien, Esq., and Raji Kochhar, E

Stipulated Award FINRA Dispute Resolution In {he Matter of ttie Arbitration Between: Robert Micley, Individually and on behalf of his IRA, and as Trustee for the Williamstown Anesthesia MPP Plan DTD 01/01/94 FBO Carolyn Henderson, The Williamstown Anesthesia MPP Plan FBO Robert Micley, and The Williamstown Anesthesia MPP Plan FBO Donna Maruco (Claimants) vs. Gilford Securities Incorporated, Ralph Worthington IV, David Stanley Kaplan, Robert Andrew Maley, Bon

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard L. Brown, Karen Lee Midyet, Trustee for the Sarah Brown and David Brown Trusts (Claimants) vs. Bruce Pomerantz, Charles Men/vin and Wachovia Securities, LLC (Respondents) Case Number: 09-02029 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimants Richard L. Brown ("R. Brown"), Karen Lee Mi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-03404 Aramis Seferian Name of the Respondent Hearing Site: Los Angeles, California Antonio Vallejo Nature of the Dispute: Associated Person vs. Customer REPRESENTATION OF PARTIES Claimant, Aramis Seferian, hereinafter refenred to as "Claimanf: Timothy Feil, Esq., Finkelstein & Feil, LLP, Garden City, New York. Respondent, Antonio

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-05989 Joseph J. Bahuth Angele Bahuth Name of Respondents Hearing Site: Los Angeles, California UBS Financial Services, inc. Andrew Coulter Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Joseph J. Bahuth and Angele Bahuth, hereinafter collectively referred to as "Claimants": Phil

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 09-04009 King Credit Shelter Trust, Edwin King, Trustee Bypass Trust of the Allderdice 1990 Living Trust DTD 9/5/01, Charlene Allderdice, Trustee Name of the Respondent Hearing Site: Los Angeles, California UBS Financial Services, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, King Credit Shelt

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-03803 Gilbert W. Lee Gilbert W. Lee, Trustee of the Lee Family Trust Name of Respondents Hearina Site: San Diego, California A.G. Edwards & Sons, Inc. Wachovia Securities, LLC Bart A. Martinez William R. Lilliott, III Nature of Dispute: Customers vs. Members and Associated Persons REPRESENTATiON OF PARTIES Claimants, Gilbert

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 09-02892 Keith Cohn, M.D., individually and as Trustee of the Keith Cohn Rollover IRA Tmst Respondents/Counter-Claimants Hearing Site: San Francisco, California Sanford C. Bernstein & Co., LLC AllianceBemstein L.P. Nature of Disputes: Customer vs. Member and Non-Member Member and Non-Member vs. Customer REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Ciaimant/Counter-Respondent Morgan Stanley Smith Barney vs. Case Number: 09-07135 i-iearing Site: Pittsburgh, Pennsylvania Name of Respondent/Counter-Claimant Richard M. Costa NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Barney ("Claimant") was represented by Catania T. Facher, Esq., and Yana Kromo, Esq