AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John Paris and Mary Lu Paris, husband and wife vs. Case Number: 09-07076 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Marie A. Battaline Sr., Individually and as an Agent for AXA Equitable Life Insurance Co., and AXA Equitable Life insurance Company NATURE OF THE DISPUTE Customers vs. Associated Person and Non-Members REPRESE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05078 Sharon L. Hewett Name of the Respondent Hearing Site: New Orleans, Louisiana Park Avenue Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sharon L. Hewett, hereinafter referred to as "Claimant": Michael J. Rudicell, Esq., Michael J. Rudicell PA, Pensacola, Florida. For Park Avenue Sec

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03240 Michael Sigerman and Delayne Sigerman (Claimants) vs. Wells Fargo Investments, LLC (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Michael Sigerman, Kerrville, TX. For Respondent appeared Thomas F. Kopshever, Esq., Wells Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: July 15, 2010 CASE SUMMARY: Claimants requested the following relief: cons

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lewis Kivo (Claimant) vs. Oppenheimer & Co., Inc. and Michael Alan Lesser (Respondents) Case Number: 09-05276 Hearina Site: New Yorl< , New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lewis Kivo, hereinafter referred to as "Claimant": Louis F. Burke, Esq., Law Office of Louis F. Burke, New York, NY. Respondents Opp

AWARD FINRA Dispute Resolution In the Matter of the ArtDitration Between: Name of Claimant Edward D. Jones & Co.. LP vs. Case Number: 09-02624 Hearing Site: Dallas. Texas Names of Respondents Summit Brokerage Sen/ices, Inc. and Preston A. Rosamond NATURE QF THE PI3PVTE Member vs. Member and Associated Person REPRESENTATION OF PARTIES Edward D. Jones & Co., LP ("Claimant" or "Edward Jones") was represented by Michael J. Whelian, Es

AWARD FINRA Diapute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley Smith Banney, LLC vs. Case Number: 10-01256 Hearing Site: Chicago, Illinois Name of Resoondent Stefan E. Rosuck NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Barney. LLC ("Claimant" or "MSSB") was represented by Kenneth O'Connor, Esq.. Lubner & Schmidt. LLC, Cranford, New Jersey.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04368 Lehman Brothers Holdings Inc., as assignee of Lehman Brothers Inc. ("Claimant") vs. John David Stroud ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Barry 8. Gold, Esq., Heather B. Middleton, Esq. and Victor A. Machcinski, Jr., Esq., Krebsbach & Snyder, P.O., New Yorl< , New Yorl< . Respondent did not appear. NATURE OF DISPUTE: Non-Member v. Associated Person DATE FILED: September 28, 2010 CASE

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimants Case Number: 08-01388 Frederick F. Hemrian Deborah S. Herman Respondents Hearing Site: San Francisco, Califomia Charles Schwab & Co., Inc. Colleen Mary Langs Marcia Harker Novick Nature of Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Frederick F. Herman and Deborah S. Herman, hereinafter collectively refe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06563 Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of the Respondent Hearing Site: Las Vegas, Nevada Mark James Nolan Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Beth Delaney, Esq. and Sean

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 09-06251 Albert S. Chen Name of the Respondents Hearing Site: San Francisco, California Deutsche Bank Securities, Incorporated William Arthur Svoboda Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Albert S. Chen, hereinafter referred to as "Claimant": John Balestriere, Esq.,