Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04028 Phyllis S. Williams, Trustee of the Phyllis S. Williams Revocable Trust under agreement dated October 3, 2008 Phyllis S. Williams, as owner of her Rollover IRA Phyllis S. Williams, individually Name of the Respondent Hearinq Site: Tampa, Florida Charies Schwab & Company, Inc. Nature of the Dispute: Customer vs. Member.

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01639 Willard J. Friedman on behalf of the Willard J. Friedman IRA and the Willard J. Friedman, SEP IRA Name of the Respondent Hearing Site: Boca Raton, Florida Brewer Financial Services, LLP Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Willard J. Friedman on behalf of the Willard J. Friedman lIRA and

AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of Claimants Tom A. Ceniglis, Sr. and Reba M. Ceniglis vs. CaseNumber: 09-04391 Hearing Site: Dallas, Texas Names of Respondents Morgan Stanley & Co., Incorporated, Dale F. Johnson, Jr., and William R. Atwood, Jr. NATURE QF THE PI8PWTE Customers vs. Member and Associated Persons REPRESENTATIPN PF PARTIES Tom A. Ceniglis, Sr. and Reba M. Ceniglis ("Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05246 FTB. LLC GC&KB Investments, Inc. Name of the Respondent Hearing Site: New Orleans, LA Morgan Stanley Smith Barney Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For FTB, LLC and GC&KB Investments, Inc., hereinafter referred to as "Claimants": Stephen D. Marx, Esq. and Brandon L. Bennett, Esq., Chehard

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dan Salamie vs. Case Number: 09-03880 Hearing Site: Charleston, West Virginia Names of Respondents TD Ameritrade, Inc., and Bruce P. Conrad NATURE OF THE DISPUTE Customer vs. Member and Non-Member REPRESENTATIQN OF PARTIES Dan Salamie ("Claimant") was represented by Richard Neely, Esq., Neely & Callaghan, Charieston, West Virginia until on or

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dennis and Sandra Malanga and DESA Corp. Profit Sharing Plan (Claimants) vs. Lincoln Financial Securities Corp. (f/k/a Jefferson Pilot Securities Corp.), Pershing LLC, and Charies J. Induddi (Respondents) Case Number: 09-02638 Hearinq Site: Newark, New Jersey Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Dennis Malanga an

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimants Case Number: 10-00536 Ivan Sleight Hazel M. Sleight Name of Respondent Hearinq Site: Portland, Oregon Centaurus Financial, Inc. Nature of Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Ivan Sleight and Hazel M. Sleight, hereinafter collectively referred to as "Claimants": Joel A. Goodman, Esq., Goodman & Nekvasil, P.A., Clearwate

Stipulated Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Heather Donahue (Claimant) vs. Advanced Equities, Inc. (Respondent) Case Number: 09-05937 Hearing Site: New York, New York Nature of the Dispute: Associated Persons v. Member. REPRESENTATION OF PARTIES Claimant Heather Donahue, hereinafter referred to as "Claimant": Howard 1. Elman, Esq., Matalon Shweky Elman PLLC, New York, NY. Respondent Advanced Equities, Inc., her

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Sacco (Claimant) vs. UBS Securities, LLC (Respondent) Case Number: 09-01067 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant David Sacco hereinafter referred to as "Claimant": Jeffery L. Liddle, Esq., Liddle & Robinson, L.L.P., New York, NY. Respondent UBS Securities, LLC, hereinafter referred to as "Re

Award FINRA Dispute Resolution In the Mafter of the Arbitration Between: Name of the Claimant Mary D. Calzat, individually, as Trustee for the Mary D. Calzat IRA and as Trustee of the Calzat Family Trust DTD 11/25/98 Name of the Respondents QA3 Financial Corp. Gregory Paul Bolton Stephen Kent Wild Thomas Gerard Zielinski Kenneth Arthur Parker Case Number: 09-05897 Hearinq Site: Las Vegas, Nevada Nature of the Dispute: Customer