AWARD FINRA DISPUTE RESOLUTION CASE: 10-03358 Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. David Bredenburg SITUS: Baltimore, Maryland REPRESENTATION OF PARTIES: For Merrill Lynch, Pierce, Fenner & Smith, Inc., hereinafter referred to as "Claimant": Jeffrey F. Manzella, Esq. and Gregg W. Marsano, Esq., Rubin, Fortunate & Harbison, P.C, Paoli, Pennsylvania. David Bredenburg, hereinafter referred to as "Respondent," did not appear. NATURE OF DISPUTE

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00553 Ameriprise Financial Services, Inc. vs. Harrison Blackwell SITUS: Columbia, South Carolina REPRESENTATION OF PARTIES: For Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Edward A. Waiton, Esq., Ameriprise Financial Services, Inc., Detroit, Michigan. Harrison Blackwell, hereinafter referred to as "Respondent," did not appear. NATURE OF DISPUTE: Member vs. Associated Person. DATE

Award FINRA Diaputa Reaolutlon In the Matter of the Adsitratlon Between: Names of the Claimants Case Number 09-06740 John A. Robinson Sara L. Robinson Names of the Respondents Hearing Site: Birmingham, Alabama Morgan Keegan & Company Inc. Christopher Lawrence Cowing Regions Financial Corporation Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For John A. Robinson and Sara L. Robi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05998 Patrick A. Morris Names of the Respondents Hearing Site: Atlanta, Georgia E*Trade Securities, LLC and E*Trade Clearing, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Patrick A. Morris, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Law Offices of Debra G. Speyer, Bala Cynwyd, Pe

Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Name of the Claimant Case Number: 09-05922 Alicia Cofresi-Vila Names of the Respondents Hearing Site: San Juan, Puerto Rico Popular Securities, Inc., Morgan Stanley & Co. Incorporated and Miguel Suau Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Alicia Cofresi-Vila, hereinafter referred to as "Claimant": Rafael E. Lu

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 09-03906 William J. Freeman, Individually, on behalf of his IRA, and as General Partner of the Freeman Family Partners, L.P. Patsy Freeman. Individually and on behalf of the Patsy Freeman Investment Management Account Devlen J. Freeman Keri Austa Freeman Williams James Freeman Richard Freeman as Trustee of the Devlen Joseph

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-01796 Bertram E. Barnett, Jr., Robert L. Cockroft, Kathy C. Cockroft. Allen R. Graber, Bittjal Partners and Robert R. Yarbrough Name of the Respondent Hearing Site: Memphis, Tennessee Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bertram E. Barnett Jr

Award FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00249 Wachovia Securities. LLC Name of the Respondent Hearina Site: Tampa. Florida Telum Jakey Winters Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": David Ward, Esq., Michaels, Ward & Rabinovitz LLP. Boston. Massachusetts. For Tel

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02927 Michael Gora (Claimant) vs. Wells Fargo Investments, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Hoboken, NJ. For Respondent appeared Thomas F. Kopshever, Esq., Wells Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 21, 2010 CASE SUMMARY: Claimant requested the following relief: consequential damages caused by illiquidity of in

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02615 Citigroup Global Markets, Inc. (Claimant) vs. Daniel Miller (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Joseph D. MacLellan, Esq., Alonso, Andalkar & Kahn, P.O., New York, NY. Respondent appeared pro se, Minneapolis, MN. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 3, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory notes.