AWARD FINRA DISPUTE RESOLUTION CASE: 10-01471 Jane Von Boiler Klotz (Claimant) vs. Marquette de Bary Co., Inc., Mikiel de Bary, Michael Dawson, and Monarch Financial Corporation of America (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Nathan P. Pereira, Esq., Henderson & Koplik, New York, NY. For Respondent Marquette de Bary Co., Inc., appeared Marquette de Bary, New York, NY. Respondent Mikiel de Bary appeared pro se, Roxbury, CT. R

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Georgiann G. Henritzy, individually and as Trustee of the Georgiann G. Henritzy Trust dated 2/13/1991 vs. CaseNumber: 09-06653 Hearing Site: Southfield, Michigan Names of Respondents Menrill Lynch, Pierce, Fenner & Smith incorporated and Robert Roland NATURE QF THE DiSPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Steven Edelson and Ellen Edelson (Claimants) vs. UBS Financial Services, Inc. (Respondent) Case Number: 08-04357 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimants Steven Edelson ("S. Edelson") and Ellen Edelson ("E. Edelson"), hereinafter collectively refer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Collins Capital LLC (Claimant) vs. The Bear Stearns Companies Inc., J.P. Morgan Chase & Co., Bear Stearns & Co., Inc., JP Morgan Securities Inc., Bear Stearns Asset Management, Inc., Bear Stearns Asset Backed Securities Fund, L.P., Bear Stearns Securities Clearing Corp., JP Morgan Clearing Corp., and Jeffrey Christopher Samsen (Respondents) Case Number: 09-04454 Hearing Site: New Yo

Award FINRA Disputa Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 09-04773 The Rhode Seidler Revocable Trust U/A DTD 09/30/06, by Arthur A. Rosenberg as Trustee Name of Respondent Hearina Site: Los Anoeies. California Wachovia Securities, Inc., n/k/a Wells Fargo Advisors LLC Nature of Dispute; Customer vs. Member REPRESENTATION OF PARTIES Claimant, The Rhode Seidler Revocable Tmst U/A DTD 09/30/06,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-05541 William W. Steckbauer, Trustee, Steckbauer Weinhart Jaffe. LLP 401 (K) Profit Sharing Plan, aka Shumaker Steckbauer Weinhart Dtd 1-1-98 fbo Dawn Couison; and Dawn M. Couison Name of Respondents Hearina Site: Los Angeles, Califomia Karen Lyn Rosen The Rosen Group Nature of Dispute: Customers vs. Non-Members REPRESENT

Award FINi^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 03-02421 Oppenheimer & Co. Name of Respondents Hearina Site: Los Angeles. Califomia Citigroup Global Maricets, Inc. f/k/a Salomon Smith Barney, Inc. Andrew B. Basch Howard A. Blite Nature of Dispute: Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., hereinafter referred to as "Oppenheimer"

AWARD FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC vs. CaseNumber: 09-06132 Hearing Site: St. Louis, Missouri Name of Respondent Robert D. Miller, Jr. NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATIQN QF PARTIES Wells Fargo Advisore, LLC flkia Wachovia Securities, LLC ("Wells Fargo" or "Claimant") was represented by Rona

Award FINf^ Dispute Resolution In the Matter of the Arbitration Between: Name of tiie Claimant Case Number: 08-05016 Alison Gordon, as Successor Trustee of the Surviving Spouse's Tmst and Family Bypass Trust oif the Gordon Family Tmsts and Gordon Investment Trust Name of ttie Respondents Hearing Site: Los Angeles, Califomia PFS Investments Inc. Grace St. Clair Travelers Life and Annuity Company Primerica Financial Seivlces Insurance Marketing

Award FINRA Dispute Resolution In the Matter of the Arbitratidn Between: Claimant Curtis Martin Hill Respondent RBC Wealth Management, a divisbn of RBC Capital Maricets Corporation, f/k/a RBC Dain Rauscher Inc. Counter-Claimanf RBC Wealth Management, a division of RBC Capital Mari< ets Corporation, f/k/a RBC Dain Rauscher Inc. Counter-Respondent Curtis Martin Hill CaseNumber 09-04007 Hearing Site: Los Angeles. Califomia Nat