Case Number: 10-02707 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Member VS. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimanr or "UBS") was represented by Lauren R. Fox, Esq.. Alonso, Andalkar & Kahn, PC, New Yori< , New Yori< . Junius V. Beaver, III ("Respondent' or "Beaver") did not appear. The statement of Claim was filed on or about June 7,2010. The Submission Agreement of Claimant, UBS Financial Services

AWARD FINRA DIsptrie Resolution In the Matter of the Arbitration Between: Names of Claimants Vernon R. Pari< s and Gay R. Paries vs. Case Number: 09-05881 Hearing Site: Dallas, Texas Name of Respondent TD Ameritrade, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Vernon R. Paries and Gay R. Paries, hereinafter collectively referred to as "Claimants," appeared pro se. TD Ameritrade, Inc. ("Respondent") was

AWARD FINRA Dispute Resolution In the Matter of the Aribitration Between: Name of Claimant Mary L. Johns vs. Names of Respondents J. Ken McVay, Brian McVay, and April D. Pruitt Case Number 09-05759 Hearing Site: Pittsburgh, Pennsylvania MATURE OF THE DISPUTE Customer vs. Associated Persons REPREggNTATtQH OF PARTII58 Mary L. Johns C'Claimanf) was represented by Robert Johns. J. Ken McVay ("J.K. McVay"). Brian McVay ("B. McVay")

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants James R. Beach and Marilyn S. Beach vs. Names of Respondents Bentley-Lawrence Securities, Inc., Mark Francis Harper. Mesirow Financial, Inc., and Richard L. Coskey Case Number: 08-03380 Hearing Site: Southfield, Michigan MATURE OF THE DISPUTE Customers vs. Members and Associated Persons REPRESENTATIQM OF PARTIES James R. Beach and Maril

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Opitz (Claimant) vs. Ameriprise Financial Services, Inc., Christopher Douglas Myers, and Myers and Lentz (Respondents) Case Number: 08-02822 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member, Associated Person, and Non-Member. REPRESENTATION OF PARTIES Claimant Joseph Opitz hereinafter referred to as "Claimant": Thomas A. Blackburn, Esq.,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01634 Robyn Brown (Claimant) vs. Dustin K. Jackson, UVest Financial Services Group, Inc., Jackson National Life Distributors LLC, and Jackson National Life Insurance Co. (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared G. Andrew Marino, Esq., Wichita, KS. For Respondents Dustin K. Jackson and UVest Financial Services Group, Inc., appeared Sara Davis, LPL Financial Corporation, Boston, MA. For Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James Olinkiewicz (Clainnant) vs. UBS Financial Services, Inc., and William Miller (Respondents) Case Number: 09-04491 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant James Olinkiewicz hereinafter referred to as "Claimant": Brett D. Zinner, Esq., Law Offices of Brett D. Zinner, P.C, New York, N

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Steven Harris (Claimant) vs. RBC Capital Markets Corporation and J.B. Hanauer & Co. (Respondents) Case Number: 10-00429 Hearing Site: Newark. New Jersey Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Estate of Steven Harris, hereinafter referred to as "Claimant": Michael J. Sullivan, Esq., Coughlin Duffy LLP, Morristown, NJ.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01661 Marrell R. and Wallis T. Greutman Trust and its Trustees IVIarrell Greutman and Terry Greutman (Claimants) vs. Ameriprise Financial Services, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Kirk Daniel Mensonides, Esq., Seattle, WA. For Respondent appeared Edward A. Walton, Esq., Ameriprise Financial Services, Inc., Detroit, M\. NATURE OF DISPUTE: Customers v. Member DATE FILED: April

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-05807 Andrew N. Becker Donna R. Fisher Andrew N. Becker Simplified Plan Respondent Hearing Site: Seattle, Washington E*Trade Securities LLC Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Andrew N. Becker, Donna R. Fisher, and Andrew N. Becker Simplified Plan, hereinafter collectively referred to as "Clai