AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Sean A. Cusaic vs. Case Number: 09-05478 Hearing Site: Houston, Texas Name of Respondent Morgan Stanley & Co., Incorporated NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Sean A. Cusal< ("Ciaimanf or "Cusak") was represented by Rodney J. Heggy, Esq., Fedemnan & Shenvood, Oklahoma City, Oklahoma. Morgan Stanley &

AWARD FINRA Dispute Resoiution in the Matter of the Arbitration Between: Name of Claimant John W. Grimes vs. Case Number: 09-00200 Hearing Site: Cincinnati, Ohio Names of Respondents 1717 Capital Management Company and Roy Neal NATURE OF THE DiSPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES John W. Grimes ("Claimant" or "Mr. Grimes") appeared pro se. 1717 Capital Management Company ("1717") was represente

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02891 Jeffrey Garsl< e Names of the Respondents Hearing Site: Columbia, South Carolina iVlax International Corporation Gregory Knight Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jeffrey Garsl< e, hereinafter referred to as "Claimant": Michael Huberman, Esq. and Seth Huberman, Esq.,

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Case Number: 10-02084 Wells Fargo Advisors. LLC Respondent Hearing Site: San Francisco. Califomia Gene Howard Bums Nature of the Dispute: Member vs. Associated Person REPRgggNTATIQN QF PARTIS? Claimant. Wells Fargo Advisors, LLC, hereinafter referred to as "Weils Fargo" or "Ciaimanf: Mitchell J. Albert, Esq.. Albert & Will, LLP. Ton-ance. Califomia. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05196 Morgan Stanley Smith Barney Name of Respondents Hearina Site: Denver, Colorado SMH Capital Inc. Jon Todd Metzger George Joseph Garro Nature of Dispute: Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Barney, hereinafter referred to as "Ciaimanf or "Morgan Stanley: John S. Lut

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kevin Doyle (Claimant) vs. Empire Financial Group, Jesup & Lamont, Inc., Donald Anthony Wojnowski, Timothy Moyer, Vlad Uchenik, and EFH Partners (Respondents) vs. Penson Financial Services, Inc. (Third Party Respondent) Case Number: 09-01610 Hearing Site: New York, New York Nature of the Dispute: Initial Claim: Associated Person vs. Non-Members, Member, and Associated

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gerald Fogelman and Rale Fogelman (Claimants) vs. American Portfolios Financial (Respondent) Case Number: 09-05240 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimants Gerald Fogelman and Raie Fogelman, hereinafter collectively referred to as "Claimants": Bruce Oakes, Esq. and Richard Fosher, Esq., Oakes & Foshe

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wateriight International S.A. (Claimant) vs. UBS Financial Services Inc., Edward L. Marx, Alexander M. Stimson, Lauren H. Mirman, and Barry A. Coviello (Respondents) Case Number: 09-03613 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Wateriight International S.A. ("Claimant"): Timothy

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Redwood Partners, LLC and Spectra Financial Group, LLC (Claimants) v. D&D Securities, Inc., CIBC World Markets Corp., and CSS, LLC (Respondents) Case Number: 03-09101 Hearing Site: New York, New York Nature of the Dispute: Members vs. Members and Non-Member. REPRESENTATION OF PARTIES Claimants Redwood Partners, LLC ("Redwood") and Spectra Financial Group, LLC ("Spectra"), herein

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00499 Charles Schwab & Co., Inc. Name of the Respondent Hearing Site: Washington. D.C. Kristin H. Koo Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Charles Schwab & Co., Inc. ("Schwab"), hereinafter referred to as "Claimant": Richard A. Karoly, Esq., Associate General Counsel, Schwab, San Francisco, CA.