Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jeffrey Kane Bischoff (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number: 09-04107 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Jeffrey Kane Bischoff, hereinafter referred to as "Claimant": Matthew W. Woodruff, Esq., Rich & Intelisano, LLP, New York, NY. Respondent UBS Financial Service

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03011 Wells Fargo Advisors, LLC (Claimant) vs. Nadim Mourad (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jim Van Dyke, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 28, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreement. Clai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-07088 Eugene "Gene" Pascarella Mary Pascarella Name of the Respondent Hearing Site: Oriando, Florida SunTrust Investment Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Eugene "Gene" Pascarella and Mary Pascarella, hereinafter collectively referred to as "Claimants": Neal J. Blaher, Esq.,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01651 RBC Capital Markets Corporation ("Claimant") vs. William Whitehurst ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Patrick Howley, Senior Associate General Counsel, RBC Wealth Management, Florham Park, NJ. Respondent did not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATEFILED: April 7, 2010. CASE SUMMARY: Claimant asserted the cause of action of failure to repay sums

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06164 The Trust FBO Dorothy S. Hellyer U/A/D 07/30/93, Dorothy S. Hellyer, Trustee Names of the Respondents Hearing Site: Washington, D.C. Citigroup Global Markets, Inc. Morgan Stanley Smith Barney LLC Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For The

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05407 Citigroup Global Markets, Inc. Name of the Respondent Hearing Site: Richmond, VA Joshua Cuff Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. ("Citigroup"), hereinafter referred to as "Claimant": Justin A. Goldberg, Esq., Alonso, Andalkar & Kahn, P.C, New York, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 10-03221 Wells Fargo Advisors Financial Networic, LLC f/k/a Wachovia Securities Financial Networic, LLC Name of Respondent Hearing Site: San Francisco. Califomia Donald Alan Wilson Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors Financial Networic, LLC f/k/a Wachovia Securities

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-06443 Jeanne Johnson Name of Respondents Hearing Site: Los Angeles. Califomia UBS Financial Services, inc. Wesley Wong Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Jeanne Johnson, hereinafter referred to as "Claimant": Glenn J. Campbell, Esq., Ventura Law Group, Ventura, Califomia.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Lawrence B. Orlick, individually and as trustee of the Orlick-Donovan Family Trust and Kathleen J. Donovan, co-trustee of the Orlick-Donovan Family Trust Case Number: 08-04257 Name of Respondents Charles Schwab & Co., Inc. Brian John Frew Hearing Site: San Francisco, California Nature of Dispute: Customers vs. Member and Associated Person RE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 09-01371 MF Global Inc. Respondent/Counter-Claimant Hearing Site: Los Angeles, California Sohan Dua Nature of the Dispute: Member v. Customer Customer v. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, MF Global Inc., hereinafter referred to as "Claimant": John W. Cotton, Esq., Cotton & Gundzik LLP, Los Angeles,