AWARD FINRA DISPUTE RESOLUTION CASE: 10-00750 Fortune A. Pesterino, Jr.. and Robin H. Pesterino. Joint Tenante (Claimante) vs. Charies Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimante appeared Jason T. Dennett, Esq.. Carison & Dennett, P.S.. Seattle. WA. For Respondent appeared Annie M. Moriarty, Esq.. Keesal, Young & Logan, San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: February 4. 2010 CASE SUMMARY

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00419 Bella Villella Maisel (Claimant) vs. Feiti & Company (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Minneapolis, MN. For Respondent appeared F. Chet Taytor, Esq.. Taylor Law Office, PLC, Minneapolis, MN. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 27.2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of fiduciary duty, misrepresentetions, non-discl

AWARD FINRA Dteputo Resolution In the Matter of the Arbttration Between: Name of Claimant Merrill Lynch, Pierce, Fenner & Smtth, Inc. vs. Case Number: 10-01420 IHearing Stte: Houston, Texas Name of Respondent Sheney A. Harper MATURE QF THE DISPUTE Member vs. Associated Person REPRESENTATION QF PARTIES Menill Lynch, Pierce, Fenner & Smtth, Inc. ("Claimant") was represented by Beth Delaney, Esq., Rubin, Fortunato & Harisison, PC, Paoli,

AWARD FINRA Dteputo Reeolution In the Matter of the Arbitration Between: Name of Clalmant/Counter-Resoondent Ameriprise Advisor Servtoes, Inc. vs. Name of Resoondent/Counter-Claimant Davki W. Waro Case Number. 09-05778 l-learingSite: Milwaukee, Wisconsin MATURE OF THE DISPUTE Memk)er v. Associated Pereon REPRESENTATION OF PARTIES Ameriprise Advisor Services, ina ("Cteimann was represented by Edward A. Walton, Esq., Ameriprise Advisor

AWARD FINRA Dteputo Resolution In tiie Matter of ttie Arbitration Between: Names of Claimante Rex Gtendenning and Sherese Gtendenning vs. Case Number 00-00826 Hearing Site: Dallas, Texas Names of Resoondente Raymond James & Associates, Inc. and Larry C. Milton NATURE OF THE DISPUTE Customere vs. Member and Associated Pereon REPRESEWTATIQM OF PARTIES Rex Gtendenning and Sherese Gtendenning, hereinafter collectively referred to as "

AWARD FINRA DIsputo Resolution In the Matter of the Ari3itratlon Between: Names of Claimante C. Michael Nelson, Linda Y. Nelson, and Jonathan Austin Dantels vs. Case Number. 09-00363 Hearing Stte: Louisville, Kentucky Names of Resoondente MaxxTrade, Inc., M. David Schnektt, and Jeffrey M. Garetica MATURE OF THE DISPUTE Customere vs. Member and Associated Persons REPRESENTATION OF PARTIES C. Mtohael Nelson, Linda Y. Nelson and Jona

Award FINRA Dteputo Resolution In ttie Matterof ttie Arit)ltratton Between: £!iJCiaDt Case Number 09-01560 Peter Oiteng Respondent Hearing Site: San Dtego, CalHbmte UBS Financial Sen/ices Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Peter Chiang, hereinafter refened to as 'Claimanf: Neda Ataie, Esq., Thomas & Atete, LLP, Carisbad, Califomia. Respondent, UBS Financial Services Inc., hereinaft

Award RNRA Dteputo Resolution In ttie Matter of the Ariaitration Between: Claimante Case Number 09-03908 Barbara J. Wammer, Indivtoually and as Tnjstee of ttie Nelson Irrevocable Trust and Nelson Maritel Tnist Respondente Hearing Site: San Francisco, Califomia l" Discount Brokerage, Inc. Kennetti Michael Myere Acument Securities, inc. (f/k/a Thomas F. White & Co., Inc.) Robert Thomson Angle Nature of the Dispute: Customere vs. Membere and

stipulated Award FINRA Dteputo Reaolirtton Case Number 08-04912 In the Matter of the Arbttration Between: Claimante Grady Hunt EricT. Besag Richard Dubois Jeffrey Koury and Erin K. Koury David R. LaVance and Martha B. LaVance Howard K. McNeil, personally and on behalf of NFS/FMTC Rollover IRA FBO Howard K. McNeil & Donna B. McNeil Alan Schildhom ResDondente Brookstreet Securities Corporation FMR Corporation National Financial

Awnid FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 10-01492 Morgan Stanley Smith Barney, LLC, 1/kfa Morgan Stanley & Co. Incorporated Respondent Hearing SHe: Las Vegas, Nevada Justin M. Hensley Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Barney, LLC, f/k/a Morgan Stanley & Co. Incorporated, hereinafter rafanrad to as "ClaimanT: Timothy