AWARD FINRA Diaputa Resolution In the Matter of the Arbitration Between: Name of Claimant ASA Tax Advantage Relative Value Fund, LP vs. Case Number: 09-04484 Hearing Site: Minneapolis. Minnesota Name of Respondent National Financial Services. LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATIQN OF PARTIES ASA Tax Advantage Relative Value Fund, LP ("Claimant" or "The Fund") was represented by Geoffrey P. Jarpe. Esq., Winthrop &

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert Bryant vs. Case Number: 10-00033 Hearing Site: Des Moines, Iowa Name of Respondent Morgan Stanley & Co., Incorporated NATURE OF THE DISPUTE Customer vs. Member REPRESENTATIQN OF PARTIES Robert Bryant ("Claimant") was represented by Gail E. Boiiver, Esq., Boliver & Bidwell. Marshalltown, Iowa. Morgan Stanley & Co., Incorporated ("Respon

STIPULATED AWARD FINRA Diaputa Reaolutlon In the Matter of the Arbitration Between: Names of Claimants Mary Kay Adams IRA, Dennis L. Adams (DECD) IRA Mary Kay Adams (BENEF). and Mary Adams Living Trust-Mary K Adams TTEE vs. Names of Respondents Oppenheimer & Co., Inc. and Susan Louise Rose Case Number: 09-05081 Hearing Site: Detroit, Michigan NATURg OF TM5 PISPUT^ Customers vs. Member and Associated Person REPRESENTATION OF PARTIE

AWARD FINRA Diaputa Resolution In the Matter of the Arbitration Between: Name of Claimant Ulrich B. Holeschovsky vs. Case Number: 10-01366 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent E*Trade Securities, LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Ulrich B. Holeschovsky ("Claimant") was represented by Robert W, Goehring. Esq.. Robert W. Goehring & Associates, Pittsburgh, Pennsylvania. E*Tra

AWARD FiNRA Dispute Resoiutlon In the Matter of the Arbitration Between: Names of Claimants/Counter-Respondents Russell E. Ginn, Beverly J. Ginn. and Their Affiliated Entities, GInnwey Investments, LP and CVWT, LLP vs. Case Number: 09-04485 l-learing Site: IHouston, Texas Names of Respondents/Counter-Claimants Sanford C. Bernstein & Co., LLC, Alliance Bemstein. LP, and Bernstein Global Wealth Management NATURE OF THE DISPUTE Custo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Grand Circle LLC (Claimant) vs. CCO Investment Services Corp. (Respondent) Case Number: 09-06454 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Grand Circle LLC hereinafter referred to as "Claimant": Thomas J. Butters, Esq., Butters Brazilian LLP, Boston, MA. Respondent CCO Investment Services Corp., hereinafter

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02889 Juliet Baruch (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Robert Talbot, Esq., and Anne Ho, University of San Francisco School of Law, Investor Justice Clinic, San Francisco, CA. For Respondent appeared Elizabeth E. Mourn, Esq., Greenberg Traurig, P.A., West Palm Beach, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 18, 2010 C

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02506 Poppie Phillips, Individual and Roth IRA (Claimants) vs. Chase Investment Services Corp. f/k/a Wamu Investments and Joseph Liddell (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Michael Clutter, Esq., Atianta, GA. For Respondents appeared Edward J. McNamara, Esq., Chase Investment Services, Corp., Chatsworth, CA. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: May

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02346 Trident Partners LTD. (Claimant) vs. Brian Martinson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William Quigley, Trident Partners, LTD., Woodbury, NY. Respondent appeared pro se, Happauge, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 17, 2010 CASE SUMMARY: Claimant asserted the following cause of action: reimbursement of customer settlement. Claim Data Awar

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02289 Deborah A. Moller (Claimant) vs. Scottrade Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sunny Isles Beach, FL. For Respondent appeared Neil P. Murphy, Esq., Murphy & Anderson, P.A., Jacksonville, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 10, 2010 CASE SUMMARY: Claimant alleged damages as a result of Respondent's failure to notify her that she could have placed