AWARD FINRA Diepute Reeolution In the Matter of the Arbitration Between: Name of Claimant Paul Leo Stanley • -VS.- • . Names of Respondents Equitas America. LLC, Dennis Brown, and Kim Liddell CaseNumber: 10-00210 Hearing Site: Southfield, Michigan NATURE OF THE ryiypi,ITf; Associated Person vs. Member and Associated Persons REPRESENTATION QF PARTIES Paul Leo Stanley ("Claimant") wa^ represented by Marc A. Goldman, Esq., Marie

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Antoinette S. Guenther, Antoinette S. Guenther Revocable Trust vs. CaseNumber: 10-00558 Hearing Site: Milwaukee, Wisconsin Names of Respondents B.C. Ziegler and Company, RBC Dain Rauscher Inc. a/k/a RBC Capital Markets Corporation, and Richard A. Schilffarth, Sr. NATURE QF THE DISPUTE Customer vs. Members and Associated Person Antoinette S. G

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John A. Winter and Margie M. Winter Joint Account, John A. Winter IRA, John A. Winter 401K Plan, and Margie M. Winter IRA vs. Names of Respondents Robert W. Baird & Company, Inc. and Thomas G. Waldklrch CaseNumber: 09-06155 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATIQN

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Ronee S. Mills Name of Respondent Scottrade, Inc. Case Number: 09-02988 Hearinq Site: Billings, Montana Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Ronee S. Mills, hereinafter refenred to as "Ciaimanf: Michael P. Heringer, Esq., Brown Law Firm, P.C, Billings, Montana Respondent, Scottrade, Inc., hereinafter

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03116 Barbara F. Raitzky (Claimant) vs. Securities America, Inc., and Richard Hoffman (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Barto, PA. For Respondent Securities America, Inc., appeared Kelly R. Davis, Esq., Securities America, Inc., La Vista, NE. Respondent Richard Hoffman appeared pro se, Palm, PA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATEFILED: July 2, 2

AWARD Award Data Award: $19,735.23 Interest: at the rate of 4.35% per annum from March 6, 2009 until the Award is paid Costs: $3,789.76 Costs: $1,050.00 AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant compensatory damages of $19,735.23. 2) Respondent is liable for and shall pay to Claimant interest

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01792 Sara Jo Hosey (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared R. Allen Kilgore, Jr., Esq., Kilgore Firm LLC, Birmingham, AL. For Respondent appeared Suzanne H. Bertolett, Esq., Sutheriand Asbill & Brennan LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 14, 2010 CASE SUMMARY: Claimant asserted the following causes of actio

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant International Capital Management Company vs. CaseNumber: 08-02639 Hearing Site: Chicago, Illinois Names of Respondents Bear, Steams & Co., inc. n/k/a J.P. Morgan Securities, Inc., Bear Stearns Asset Management, inc.. The Bear Stearns Companies, Inc., Ralph R. Cioffi, Jr., Matthew Tannin, Raymond McGarrigal. and Norman Lang NATURE OF THE DISPUTE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-07021 Citigroup Global Markets, Inc. Name of the Respondent Hearina Site: Washington, D.C. Guide J. Alvarez Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. ("CGMI"), hereinafter referred to as "Claimant": Erin E. Mac Avoy, Esq., Alonso, Andalkar & Kahn, P.C, New York, N

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02975 Bernard Sussman, as Trustee of the Bernard Sussman IRA and as Trustee of the Bernard Sussman Revocable Trust Account Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. a/k/a Smith Barney. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ber