AWARD FINRA DISPUTE RESOLUTION CASE: 09-07153 Peter Skouras (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared George W. Klein, Esq., George W. Klein & Associates, Forest Hills, NY. For Respondent appeared Kathryn L. Dietrich, Esq., Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 23, 2009 CASE SUMMARY: Claimant asserted t

Award FiNRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 10-00266 Sara Reed Respondents Hearino Site: San Francisco, Califomla Charles Schwab & Co., Inc. Kimon Peter Daifotis Randall Wayne Merk Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Sara Reed, hereinafter referred to as "Claimant": Irwin Stein, Investors Recovery Sen^ice, Novate. Californi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05821 Robert D. Hoge Names of the Respondents Hearing Site: Atlanta. Georgia Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney, Inc. and Christopher M. Payne Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTIES For Robert D. Hoge, hereinafter referred to as "Claimant": Ro

Award PINRA Dispute Resolution In the Matter of the Ari3itration Between: Name of the Claimant Case Number: 09-05673 Joyce L. Aucoln Name of the Respondent Hearing Site: Los Angeles, California UBS Financial Services Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Joyce L. Aucoln ("Aucoln"), hereinafter referred to as "Clalmanf: Thomas C. Frost, Esq. and George C. Miller, Esq., Shustak Frost & Partn

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-05229 DIvesh K. Makan Chad L. Boeding Respondent Hearing Site: San Francisco, Califomla Goldman, Sachs and Company Nature of the Dispute: Associated Persons vs. Member REPRESENTATION OF PARTIES Claimants, DIvesh K. Makan ("Makan") and Chad L. Boeding ("Boeding'), hereinafter collectively referred to as "Claimants": Rodney J. Heggy, Esq., Fed

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Case Number: 09-04439 Alice J. Potter Respondents Hearing Site: Denver, Colorado Clyde A. Bennlnghoff American General Securities Inc. Sagepoint Financial, Inc. Nature of Dispute: Customer vs. Members and Associated Person REPRESEIiTATiON OF PARTIES Claimant, Alice J. Potter, hereinafter referred to as "Claimant": David Liebrader. Esq., The Law Offices o

Avrard FINRA Dispute Resolution In the Matter of the Ariaitration Between: Claimant Case Number 09-03424 Merrill Lynch, Pierce, Fenner & Smith Incorporated Respondents Hearing Site: Helena. Montana Morgan Stanley & Co., Incorporated William A. Claridge Martin A. Colennan, III Patrick G. Lewis Adrian J. Matosich G. Todd Williamson Nature of the Dispute: Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheClainriant Case Number: 10-01057 RBC Capital Markets Corporation Name of the Respondent Hearing Site: Seattle, Washington Sally Jean Gray Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, RBC Capital Markets Corporation hereinafter referred to as "RBC or "Claimant": David L. Young, Esq., Lane Powel PC, Seattle, Washington.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01222 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC ("Claimant") vs. Hansel C. Toppin ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Stephen D. Burns, Esq.. Fiore & Levin. PLLC, Arlington, Virginia. Respondent did not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATE FILED: March 12, 2010. CASE SUMMARY: Claimant asserted the causes of action of breach of promissory

Award FiNRA Dispute Resoiution In the Matter of. the Arbitration Between: Names of the Claimants Case Number: 09-04459 Mathew J. Craig Lisa M. Craig Lisa M. Craig IRA Name of the Respondent Hearing Site: Raleigh, North Carolina Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATiON OF PARTIES For Mathew J. Craig, Lisa M. Craig and Lisa M. Craig IRA, hereinafter collectively referred to as "Claimants"