Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John Szurko and Pamela Szurko (Claimants) vs. Morgan Stanley Smith Barney (Respondent) Case Number: 09-05365 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES John Szurko and Pamela Szurko, hereinafter collectively referred to as "Claimants": Marc S. Gottlieb, Esq., Law Offices of Marc S. Gottlieb, New York, NY. Morgan St

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Steven L. Weisberg, Steven L. Weisberg Rev.Trust Steven L. Weisberg TTEE DTD 5/14/01, IRA FBO Steven L. Weisberg SunAmerica Trust Co. Cust. Name of the Respondent John Robert Schwartz Royal Alliance Associates, Inc. and Retirement Advisory Services, Corp, Case Number: 09-02693 Hearing Site: Boca Raton, Florida Nature of the Dispute: Cus

Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Name of the Claimant Case Number: 09-00258 Moeller Family Charitable Remainder Uni Trust #1 Name of the Respondent Hearing Site: Little Rock, Arkansas Arvest Investments, Inc. d/b/a Arvest Asset Management Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Moeller Family Charitable Remainder Uni Trust #1, hereinafter referred to as "Claima

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01614 Patricia Quirk (Claimant) vs. Ameritas Investment Corp. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared David A. Carter, Esq., David A. Carter, P.A., Boca Raton, FL and Daniel M. Stolz, Esq., Wasserman, Jurista & Stolz, Millburn, NJ. For Respondent appeared David Williams, Esq., Ameritas Investment Corp., Lincoln, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 6, 2010 CASE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Citigroup Global Markets, Inc. Respondent AvelIno Cortina III Counter-Claimant Avelino Cortina III Counter-Respondent Citigroup Global Markets, Inc. Case Number: 09-00492 Hearing Site: San Diego, California Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Citig

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Eric Anderson Respondents Culium & Burks Securities, Inc. Robert J. Clark Case Number: 10-01597 Hearing Site: Los Angeles, California Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Eric Anderson, hereinafter referred to as "Claimant": Robert J. McKennon, Esq., McKennon Schindler LLP, Newport Beach, California

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02359 UBS Financial Services Inc. Respondent Hearing Site: Los Angeles, California David Edward Lamarche Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Services Inc., hereinafter referred to as "UBSFS" or "Claimant": Devin A. Donohue, Esq., Palmer, Lombard! & Donohue LLP, Los Angeles, Cal

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Raymond James Financial Services, Inc. Name of the Respondent John Andrews Case Number: 10-01080 Hearing Site: Washington. DC Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Claimant Raymond James Financial Services, Inc., hereinafter referred to as "Claimant:" Cliff G. Anderson, Esq., Michaels, Ward & Rabinovltz. L

AWARD/ FINRA DISPUTE RESOLUTION CASE: 10-01585 Claire M. Layton (Claimant) vs. William Clarke Moynihan and Wells Fargo Advisors, LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sparta, NJ. For Respondents appeared Nuviah Shirazi, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: March 31, 2010 CASE SUMMARY: Claimant asserted the following cause of action

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01469 Joseph Vitale and James Vitale (Claimants) vs. Mercer Capital Ltd. (Respondent) REPRESENTATION OF PARTIES: ~" Claimants appeared pro se, Auburn, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Customers vs. Member DATE FILED: March 25, 2010 CASE SUMMARY: Claimants asserted the following cause of action: failure to return funds invested for the purpose of purchasing an Ini