Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-02939 Maurer and Associates Capital Management Roger D. Maurer Shay Lindemann Name of Respondents Hearinq Site: Denver, Colorado Charies Schwab & Co., Inc. Kimon Peter Daifotis Name of Counter-Claimants Charies Schwab & Co., Inc. Kimon Peter Daifotis Name of Counter-Respondent Maurer and Associates Capital Management

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01151 Aydee G. Ospina Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Aydee G. Ospina, hereinafter referred to as "Claimant": V. Michael Arias, Esq., V. Michael Arias, P.A., Coral Gables, Florida. For Merr

Award FINRA Diapute Reaolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00803 Raymond James Financial Services, inc. Name of the Respondent Hearinq Site: Little Rock, AR Dwight Hazelwood Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Raymond James Financial Services, Inc., hereinafter referred to as "Claimant": John K. Wells, Esq., Michaels, Ward & Rabinovitz, LLP, Bosto

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03360 Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Claimant") vs. Nigel Graham ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Paul T. Cahill, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATEFILED: July 26, 2010 CASE SUMMARY: Claimant asserted the cause of action of breach of the promissory note dated March 2, 2007

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05841 Merrill Lynch, Pierce, Fenner & Smith Inc. Name of the Respondent Hearinq Site: Fort Lauderdale, Florida Charles Bishop Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith Inc., hereinafter referred to as "Claimant": Jason Murt:agh, Esq., and Beth Delaney, Esq.

AWARD FINRA Disputa Resolution In the Matter of the Arbitration Between: Name of Claimant Rhonda S. Waksman vs. Name of Respondent CCO Investment Services Corp., T/D/B/A Citizens Investment Services Case Number: 09-00759 Hearing Site: Pittsburgh, Pennsylvania NATURE QFTHE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Rhonda S. Waksman ("Claimant") was represented by Richard W. Kelly, Jr., Esq., Kelly Law, Pittsburgh, Penns

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Cheryl Schwarzwaelder vs. CaseNumber: 04-04184 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. and Timothy Paul Miller and Name of Counter-Claimant Merrill Lynch, Pierce, Fenner & Smith Inc. vs. Name of Counter-Respondent Cheryl Schwarzwaelder NATURE QF THE DISPUTE Associated

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 Hearinq Site: New York, New York consolidated with Thomas A. Garriton, Sr. (Claimant) vs. Patrick Alfano and TAG Securities (Respondents) Case Number: 09-01313 Hearinq Site: New York, New York N

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas F. IVlotamed and Christine B. Motamed (Claimants) vs. UBS Financial Services, Inc., R. Ashley Early, and Judith L. Sierko (Respondents) Case Number: 09-02087 Hearinq Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Thomas F. Motamed ("T. Motamed") and Christine B. Motamed ("C. Motamed"

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03036 Wells Fargo Advisors, LLC (Claimant) vs. Michael Miller (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jim Van Dyke, Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared J. Benjamin Dick, Esq., Law Offices of J. Benjamin Dick, Charlottesville, VA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 29, 2010 CASE SUMMARY: Claimant asserted the following cause of acti