STIPULATED AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Lyn L. Ashlock vs. Case Number: 09-02108 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Arvest Asset Management and Amy Cady MATURE QF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATIOM OF PARTIES Lyn L. Ashlock ("Claimant") was represented by Michael C. Woodward, Esq., Woodward Law Firm, Tulsa, Oklaho

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lazard Asset Management LLC and Lazard Asset Management Securities LLC (Claimants) vs. Kris T. Haber (Respondent) Case Number: 09-04529 Hearing Site: New York, New York Nature of the Dispute: Non-Member and Member vs. Associated Person REPRESENTATION OF PARTIES Claimants Lazard Asset Management LLC ("Lazard") and Lazard Asset Management Securities LLC ("Lazard Securities"), here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alan J. Biren and John W. Tucker (Claimants) vs. Banc of America Investment Services, Inc. (Respondent) Case Number: 09-05044 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Alan J. Biren ("Biren") and John W. Tucker "(Tucker"), hereinafter collectively referred to as "Claimants": Bruce D. Oakes, Esq., Oakes & F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Shanawaz Basith (Claimant) vs. J.P. Morgan Securities, Inc. (Respondent) Case Number: 09-03681 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Shanawaz Basith ("Claimant"): Catherine E. Anderson, Esq., Giskan Solotaroff Anderson & Stewart LLP, New York, NY. Respondent J.P. Morgan Securities, Inc. ("Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Timothy ("Chip") Stevens (Claimant) vs. Deutsche Bank Securities, Inc. (Respondent) Case Number: 08-04980 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Timothy ("Chip") Stevens hereinafter referred to as "Claimant": Jeffrey L. Liddle and David 1. Greenberger, Esq., Liddle & Robinson, L.L.P., New York, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ann Myers (Claimant) vs. Alan Lloyd Knisley, Edward James Mercier, and Wachovia Securities LLC f/k/a AG Edwards & Sons, Inc. (Respondents) Case Number: 08-04144 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Ann Myers hereinafter referred to as "Claimant": Wayne E. Batcheler, Esq., New York, N

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimants Case Number: 09-05381 Iris Victor Berger Iris Victor Trust DTD 08/16/91 Respondents Hearing Site: San Diego, California Ol^oboji Financial Services, Inc. Scott Edward Engel Ralph Roberts Schneider Ralph Stacey Schneider Donahue Edwin Jones Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Iris Victor Berger ("Berger

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimants Case Nunnber: 07-03390 Sharon Larocque Sharon Larocque, IRA Respondents National Financial Services LLC Travis A. Branch Stanley C. Brooi< s Kyle Reed Christensen Brookstreet Securities Corporation Janet Lynn Ross Troy Lucian Gagllardi Julie C. B. Mains Kristopher Charles Kessier Steve Skytte The Brooks Family Trust Counter-Claimant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-05191 Mark Dowie and Wendy Ann Schwartz Joint Tenants Michael Berger and Deborah J. Slater Tmst U/A Dated 10/23/2001 Richard Kirschman Trust Dated 5/28/2008 Respondents Hearing Site: San Francisco, California Charles Schwab & Co., Inc. Kimon P. Daifotis Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTI

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-00702 Wells Fargo Advisors, LLC Respondent Hearing Site: Salt Lake City, Utah Michael Curtis Forbes Counter-Claimant Michael Curtis Forbes Counter-Respondent Wells Fargo Advisors, LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, W