Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Valenti and Christine Valenti (Claimants) vs. Patrick Alfano and TAG Securities Corp. (Respondents) vs. Thomas Garriton, Sr. (Third-Party Respondent) Case Number: 09-00348 Hearing Site: New Yorl< , New York consolidated with Thomas A. Garriton, Sr. (Claimant) vs. Patrick Alfano and TAG Securities (Respondents) Case Number: 09-01313 Hearing Site: New York, New York

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimants Case Number: 10-01800 Jimmy D. Hair Karen E. Hair Oceans 30, Inc. Name of Respondents Hearing Site: Phoenix, Arizona SunAmerica Securities, Inc. alkla Sagepoint Financial, inc. Keith P. DeGreen Jared B. Roskelley Name of Cross-Claimant SunAmerica Securities, Inc. a/k/a Sagepoint Financial, Inc. Name of Cross-Respondents Keith P. DeGreen

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimants Case Number: 09-04866 Patrick J. Rohan Trust U/A dated 9/19/1991. Patrick J. Rohan and Diane E. Rohan Trust U/A dated 5/3/1999, Patrick J. Rohan Pension Plan U/A dated 03/1/1997, Patrick J. Rohan, Inc., and Diane E. Rohan Profit Sharing Plan U/A dated 12/15/1999 Name of Respondents Hearinq Site: San Diego, California Charies Schwab & Co.

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimants Case Number. 09-04369 Eric T. Besag Eric T. Besag Living Tmst U/A dated 03/28/07 Name of the Respondent Hearing Site: San Francisco, California Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Eric T. Besag and Eric T. Besag Living Trust U/A dated 03/28/07, hereinafte

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05393 Paul Chaplin and Karen Chaplin Wayne Chaplin and Ariene Chaplin Name of the Respondent Hearing Site: Miami, Florida Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Paul Chaplin and Karen Chaplin, Wayne Chaplin and Ariene Chaplin, hereinafter collectively referred to

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03582 Jason Schall Name of the Respondent Hearinq Site: Columbia, South Carolina UBS Financial Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Jason Schall, hereinafter referred to as "Claimant": Mitchell Willoughby, Esq., Elizabeth Zeck, Esq. and Andrew MacLeod, Esq., Willoughby & Hoe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02511 Joseph Torsiello Name of the Respondent Hearinq Site: Boca Raton, Florida AXA Advisors, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Joseph Torsiello, hereinafter referred to as "Claimant": Marc S. Dobin, Esq., Marc S. Dobin, P.A., Jupiter, Florida. For AXA Advisors, LLC, hereinafter referred

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03140 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Jason Latorre (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: July 9, 2010. CASE SUMMARY: Claimant asserted the following causes of action: breach of

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services LLC (Claimant) v. David F. LaMay and Essex Financial Services, Inc. (Respondents) Case Number: 10-03020 Hearing Site: Hartford, Connecticut Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Services LLC, hereinafter referred to as "Claimant": Jennifer A. Kenedy, Esq., Locke

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Victor H. Stora and Lucille Stora, Victor N. Stora, Katherine Ruotolo and Gina Ruotolo, George Tropiano, Joseph Quattrocchi, and Dependable Auto Body, Inc. (Claimants) v. Strasbourger Pearson Tulcin Wolff, Inc., Andrew Gonchar, Polyvios T. Polyviou, Ronald Moschetta, Michael J. Schumacher, and Allan M. Levine (Respondents). Case Number: 09-01769 Hearing Site: New York, New York Natu