AWARD FINRA DISPUTE RESOLUTION CASE: 10-00564 Oppenheimer & Co. Inc. (Claimant) vs. Brian M. McLoughlin (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared John T. McGuire, Esq., Oppenheimer & Co. Inc., New York, NY. Respondent appeared pro se, Manhattan Beach, CA . NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 4, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of stabilization agreement; b

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06971 Vanguard Marketing Corporation (Claimant) vs. Robert S. Hamburger and Gloria A. Hamburger (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Jennifer F. Hinderiiter, Esq., Vanguard Marketing Corporation, Wayne, PA. For Respondent Robert S. Hamburger appeared Wendy deBord, Crystal Lake, IL. Respondent Gloria Hamburger did not appear in this matter. NATURE OF DISPUTE: Member v. Customers DAT

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alexis Miron (Claimant) vs. CIBC Worid Markets Corp. and Oppenheimer & Co., Inc. (Respondents) Case Number: 08-04310 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members REPRESENTATION OF PARTIES Claimant Alexis Miron hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle & Robinson, L.L.P., New York, NY. Respondent CIBC Worid

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ed Coniin & Associates, LLC vs. Case Number: 09-00988 Hearing Site: Mirineapolis, IVIinnesota Name of Respondent/Third-Partv Claimant Merrill Lynch, Pierce, Fanner & Smith, Inc. • 'vs. • • • Name of Third-Party Respondent Kenneth J. Marchiol i^ATUREQFTHEDiSPUTE Customer vs. Member V. Associated Person REPRESEIUTATIQW OF PARTIES Ed

Award FINRA Dispute Resolution Iri the Matter of the Arbitration Between: Name of the Claimant ' Case Number: 09-03645 Jerome S. Mayersal^ Family Limited Partnership Name of the Respondent Hearing Site: Fort Lauderdale, Florida Lightspeed Trading, LLC Nature of the Dispute: Customer vs. IVIember. REPRESENTATION OF PARTIES For the Jerome 8. Mayersak Family Limited Partnership ("Mayersak"), hereinafter referred to as "Claimant:" Jerome

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul Scileppi (Claimant) vs. UBS Financial Services Inc. (Respondent) Case Number: 10-01563 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Paul Joseph Scileppi ("Claimant") appeared pro se. Respondent UBS Financial Services Inc. ("Respondent"): Anthony J. Borrelli, Esq., Riker Danzig Soberer Hylahd Perrett

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Katherine Capewell, William Capewell, Nina Belasco Craig, Rosalie Dalesio, Robert Heck, Dorothy Heck, Elizabeth Navarra, Randall Schell, Maryellen Schell, James Visconti, Dorothy ViscontI, Josephine Liberta, Paul Ortman, Angela Ortman, Steven Kulchinsky, and Shirley Kulchinsky (Claimants) vs. Jeffrey Southard, Ameriprise Financial, and GunnAllen Financial (Respondents) Case Number: 08-0

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00302 Gary Lee Eveatt (Claimant) vs. Shaun P. Verner, Bancwest Investment Services, Inc., Trade A. Sunitsch, and Nationwide Life Insurance Co. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Oroville, CA. For Respondents Shaun P. Verner, Bancwest Investment Services, Inc., and Trade A. Sunitsch appeared Kelly J. Moynihan, Esq., Keesal, Young & Logan, San Francisco, CA. Respondent Nationwide L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Chester F. Zoelier vs. Names of Respondents Sterne, Agee & Leach, Inc. and Richard Owen Mitchell, Sr. Case Number: 09-04884 Hearing Site: Louisville, Kentucky MATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Chester F. Zoeiler ("Claimant') was represented by James P. McCrocklin, Esq., Louisville, Kentu

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01374 C. Bruce IVIcCaslin and Loretta McCaslln (Claimants) vs. Edward D. Jones & Co., L.P. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, IVIeridian, ID For Respondents appeared Dennis J. Caprlgllone, Esq., Edward D. Jones & Co., L.P., St. Louis, hAO NATURE OF DISPUTE: Customers vs. Member DATE FILED: March 19, 2010 CASE SUMMARY: Claimants asserted the following cause of action: failure