Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-02486 Robert F. Brink ResDondents Hearino Site: Los Angeles, California BFT Financial Group, LLC Jessica Carolyn Cutrera Counter-Claimant Jessica Carolyn Cutrera Counter-ResDondent Robert F. Brink Nature of Dispute: Associated Person vs. Member and Associated Person Associated Person vs. Associated Person REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Betsy Van Hees Respondent Cowen & Company, LLC Counter-Claimant Cowen & Company, LLC Counter-Respondent Betsy Van Hees Case Number 08-04521 Hearino Site: San Francisco, Califomia Nature of the Dispute: Associated Person vs. Member Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Betsy Van Hees. hereinafter refen-ed to as "Claimant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Baltis (Claimant) vs. Morgan Stanley Smith Barney, LLC, as a successor in name, Interest and title to Morgan Stanley & Co., Incorporated and Citigroup Global Markets, Inc., and George C. Danes (Respondents) Case Number: 09-05638 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Peter Baltis h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-02336 Pershing LLC Respondents Hearing Site: San Francisco. CA Crocker Securities LLC Lisa Mello Kevin Martin Douglas Green Cross-Claimants/Counter-Claimants Crocker Securities LLC Lisa Mello Kevin Martin Cross-Respondent Douglas Green Counter-Respondent Pershing LLC Nature of the Dispute: Member vs. Member and Ass

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of the Claimant Case Number. 09-04864 Steve Jim Miura Name of the Respondents Hearing Site: San Francisco, Califomia Charies Schwab & Co., Inc. Kimon P. DaifotIs Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Steve Jim Miura, hereinafter refen-ed to as Xlaimant": Thomas D. Mauriello, Esq., Mauriello Law Firm

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 09-06580 Thomas G. Tripp Name of the Respondent Hearing Site: Portland, Oregon UBS Financial Services, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Thomas G. Tripp, hereinafter referred to as "Claimant": B. Scott Whipple, Esq., Whipple & Duyck, P.C., Portland, Oregon. Respondent, UBS F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number. 09-05253 The Estate of Lawrence D. Bums, By Its Executor, Epifania B. Burns Respondent Hearino Site: Las Vegas, Nevada Mid-Ohio Securities Corp. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, The Estate of Lawrence D. Burns, By Its Executor, Epifania B. Burns, hereinafter referred to as "Claimant": Bruce Oakes, Es

Award FINRA Dispute Resolution In the IVIatter of the Arbitration Between: Obsidian Financial Group, LLC (Claimant) v. Vincent D. Bentivegna (Respondent) Case Number: 08-01373 iHearinq Site: New York, New York Nature of the Dispute: IVIember vs. Associated Person. REPRESENTATION OF PARTIES Claimant Obsidian FInanciai Group, LLC hereinafter referred to as "Claimant": Brian H. Reis, Esq., Law Office of Brian H. Reis, New York, NY. Previously represented by

AWARD FINRA Disputa Resolution In the Matter of the Arbitration Between: Name of Clalmants/Counter-Resoondents David A. Sherman, Individually and David A. Sherman Living Trust, by David A. Sherman Trustee vs. Case Number: 09-03993 Hearing Site: Chicago, Illinois Name of Resoondent/Counter-Claimant Sanford C. Bernstein & Co., LLC NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES David A. Sherman, Individually and

AWARD FINRA Dispute Resolution In the Matter off the Arbitration Between: IMames of Claimants John Patience, Individually and as Trustee of The John Patience Tmst. dated 6/23/93, and The John Patience Taist vs. Names of Respondents Jeffries & Company, Inc., and Jeffries Investment Advisers, LLC Case Number: 09-02188 Hearing Site: Chicago, Illinois ^ATyRBflFTH^PiSPyTE Customers vs. Member and Non-Member REPiESEMTATlQM QE, PARTIES