Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants William Hahn Jeane Hahn Respondents Valmark Securities, Inc. David Scott Coles Counter-Claimants Valmark Securities, Inc. David Scott Coles Counter-ResDondents William Hahn Jeane Hahn Case Number: 09-05114 Hearing Site: Los Angeles, California Nature of the Dispute: Customers vs. Member and Associated Person Member and Associated Per

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants James L. (Jimmy) Snow Rayford (Ray) Dunnam Andrew Jackie Elly, and Gary L. Kosztur Names of the Respondents Prudential Equity Group, LLC, ditigroup Global Markets, Inc. and William Ezra Brownel Case Number: 07-01704 Hearing Site: Jackson, Mississippi Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PAR

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Steiner (Claimant) v. UBS Financial Services Inc. (Respondent) Case Number: 09-04396 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant David Steiner hereinafter referred to as "Claimant": Matthew W. Woodruff, Esq., Rich & Intelisano, LLP, New York, NY. Respondent UBS Financial Services Inc., hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06085 Dushaune Evans Names of the Respondents Hearing Site: Washington. DC Investors Capital Corp. and Frederick Vonte Judkins Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTIES For Dushaune Evans, hereinafter referred to as "Claimant:" Brian C. Parker, Esq., Parker, Dumler & Kiely, LLP, Ba

/• Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 09-04699 Paigow II, LLC Jill Trade, LLC Respondent Hearino Site: Las Vegas, Nevada Citigroup Global Markets, Inc. Nature of Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Paigow II, LLC ("Paigow") arid Jill Trade, LLC ("Jill"), hereinafter collectively referred to as "Claimants": Brian Kennedy, Esq., Law Office of Bria

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01894 UBS Financial Services Inc. ("Claimanf) vs. Francisco (Frank) Alberto Diaz ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Richard J. Maloney, Esq. and Molly J. Tatman, Esq., UBS Financial Services Inc.. Weehawken, New Jersey until on or about July 29, 2010. Thereafter, Brian S. Hormozi. Esq. and Steve Pherson, Esq. of Schuyler, Roche & Crisham, P.C., Chicago, Illinois. Respondent did not appear.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06961 Wells Fargo Advisors, LLC f/k/a Wachovia Securities LLC Name of the Respondent Hearing Site: Boca Raton, Florida Jeffrey Taylor Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC f/k/a Wachovia Securities LLC, hereinafter referred to as "Claimant": Michael S. Colombo,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 10-02457 Merrill Lynch, Pierce, Fenner & Smith Incorporated Respondent Hearino Site: Portland, Oregon Matthew James Pulsipher Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Merrill Lynch" or "Claimant": Diane C. Fischer, Esq.. Kane

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stuart P. Suskind (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 10-00214 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Stuart P. Suskind hereinafter referred to as "Claimant" appeared pro se. Respondent Citigroup Global Markets, Inc., hereinafter referred to as "Respondent": Raul Sanchez,

Award Data Award: $17,658.16 Pre-award interest: at the rate of 4.25% per annum from November 1, 2009 to October 14,2010 Post-award Interest: at the rate of 12% per annum, at the Massachusetts statutory rate, from the date of the Award until paid Attorneys' Fees: $0.00 Costs: $1,050.00 Other: $0.00 AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the Issues submitted for determination as