Award FINRA Dispute Resolution In the Matter of tho Arbitration Between: Marc Curtis (Claimant) v. Commonwealth Financial Network and Thomas John Bartholomew (Respondents) Case Number: 09-04893 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTIES Claimant Marc D. Curtis, hereinafter referred to as "Claimant": Arthur S. Leider, Investors Arbitration Specialists, San Diego. CA.

Award FINRA Dispute Resolution In the Matter of the Arbitration Betoween: Claimant Case Numt)er 09^548 Morgan Stanley & Co., Incorporated Respondent Hearing Site: Seattle, V\foshingtDn Chen L. Johnson Nature of the Dispute: Member v. Associated Person REPRESEWTATIOM OF PARTIES Claimant. Morgan Stanley & Co., Incorporated, hereinafter referred to as t^laimant": Donald Ray, 1^., Kane & Fischer, Ltd.. Chicago, Illinois. Respondent Cheri L. J

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02807 Morgan Stanley Smith Barney LLC (Claimant) vs. Troy Lambert (Respondent) REPRESENTATION OF PARTIES: For Claimant: Samuel P. Mauch, Esq., Saretsky Hart Michaels & Gould PC, Birmingham, MI. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATEFILED: June 15, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01719 Eric H. Schiff (Claimant) vs. Scottrade, Inc., Rodger Odell Riney, Anthony Michael Viviano, II, Randle Dean Copeland, and Anthony R. Sarracino (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se. Merlon, PA. For Respondents appeared Niels P. Murphy, Esq., Murphy & Anderson, P.A., Jacksonville, FL. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE FILED: April 13, 2010 CAS

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01287 Wesley J. Olson (Claimant) vs. Scottrade, Inc., and Joe Lee (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey S. Salisbury, Esq., Law Office of Jeffrey S. Salisbury, Eugene, OR. For Respondents appeared Alexander T. Moore, Esq., Scottrade, Inc., and Niels P. Murphy, Esq., Murphy & Anderson, P.A., Jacksonville, FL. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01284 Harold Y. Fain TTEE FBO Harold Y. Fain Revocable Trust U/A 12/5/07 (Claimant) vs. TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Boynton Beach, FL. For Respondent appeared Hollle Mason, Esq., TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 8, 2010 CASE SUMMARY: Claimant asserted the following cause of action: margin interest

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00699 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. David P. Wilson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Mitchell J. Albert, Esq., Albert & Will, LLP, Torrance, CA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 11, 2010 CASE SUMMARY; Claimant asserted the following cause of action: bre

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00245 James Quigg (Claimant) vs. Fifth Third Securities, Inc., M. Scott Games, and Ryan Anderson (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Grand Rapids, Ml. For Respondents Fifth Third Securities, Inc., and M. Scott Games appeared Elisabeth M. Von Eitzen, Esq., Warner, Norcross & Judd LLP, Grand Rapids, Ml. Respondent Ryan Anderson did not enter an appearance in this matter. NATURE OF D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anna Kazar (Claimant) vs. Citigroup Global Markets, Inc. and John A. Hochstrasser (Respondents) Case Nunnber: 10-00125 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Anna Kazar, hereinafter referred to as "Claimant": Elizabeth Hendricks, Rumson, NJ. Respondents Citigroup Global Markets, In

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen H. Klafter (on behalf of his Individual Retirement Accounts), Rita E. Klafter (on behalf of her Individual Retirement Accounts), and Rita E. Klafter (Claimants) vs. Sanford C. Bernstein & Co., LLC (Respondent) Case Number: 09-04492 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimants Stephen H. Klafter, IRA ("S. Kl