AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Linda Hanis, Executor of the Estate of Lessie M. Delk. Deceased vs. Case Number: 07-01147 Hearing Site: St. Louis, Missouri Names of Respondents A.G. Edwards & Sons, Inc. and Kelly S. Waller Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Linda Harris, Executor of the Estate of Lessie M. Delk, Deceased ("Claimant") was rep

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael J. Maher vs. Names of Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc., John R. Bentley, Bank of America Corporation, and Merrill Lynch & Co., Inc. Case Number: 09-03074 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customer vs. Member, Associated Person, and Non-Members REPRESENTATION OF PARTIES Michael J. Maher ("Clai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: DSX, Inc., D-Trade, L.P., D-Trade, Inc., Solaris Alternative Capital Partners, L.P., Solaris Alternative Capital Fund, L.P., Solaris Alternative Capital Fund II, L.P., Solaris Liquidation, L.L.C., Solaris Asset Management Group, L.L.C., Solaris Capital Market, L.L.C., and Pasquale R. DiDonato (Claimants) vs. The Estate of Ralph P. DiDonato, Margaret DiDonato, Administratrix (Respondent)

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Financial Network Investment Corporation (Claimant) v. Thomas Pfeiffer (Respondent) Case Number: 10-03072 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Financial Network Investment Corporation, hereinafter referred to as "Claimant": Matthew Tracy, Esq., Winget, Spadafora & Schwartzberg, LLP, New York, NY.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03327 Gina Marie DiPietro (Claimant) vs. PNC Investments (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Morganville, NJ. For Respondent appeared Brian A. Cariis, Esq., Stark & Starl^, P.C., Lawrenceville, NJ. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: July 21, 2010 CASE SUMMARY: Claimant asserted the following causes of action: defamation and expungement of Forms U4 and U5.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 10-01188 Valerie Charlton Char Devron H. Char Name of the Respondent Hearing Site: San Francisco, California Charles Schwab & Co., Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Valerie Charlton Char and Devron H. Char, hereinafter collectively referred to as "Claimants": Devron H. Char, San Fr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06555 Robert N. Stephens Living Trust Name of the Respondent Hearing Site: Los Angeles, California UnionBanc Investment Services, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES • « Claimant, Robert N. Stephens Living Trust, hereinafter referred to as "Claimant": Montgomery G. Griffin, Esq., Law Offices of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03471 Steve R. Fraser Name of the Respondent Hearing Site: Los Angeles, California Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Steve R. Fraser, hereinafter referred to as "Claimant": John Gulino, Esq., J. Gulino Law Offices, Anaheim Hills, California. Respondent, Wachovia

AWARD flHRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John H. Bailey, as Trustee and on Behalf of the Henry Gordon Bailey, Jr. Living TR U/A 9/19/97 and the H. Gordon Georgia Lee Bailey Chart Remain Unitrust U/A 2/5/98 vs. Case Number: 09-00410 Hearing Site: Columbus, Ohio Names of Respondents WRP Investments, Inc., William Richard Pintaric, David Michael Pintaric, and William Richard Pintaric,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Glenn W. Coriiss vs. Case Number: 09-06332 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent ceo Investment Sen/ices Corp. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Glenn W. Coriiss ("Claimant" or "Coriiss") was represented by Brian J. Sommer, Esq., Meyer, Unl^ovic & Scott, LLP, Pittsburgh, Pennsylvania. ceo