Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Hougle and Michelle Brilliant (Claimante) vs. Charies Schwab & Co., inc. (Respondent) Case Number: 09-04222 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Robert Hougle ("Hougle") and Michelle Brilliant CBriilianf), hereinafter collectively refened to as "Claimante": David B. Gordon, Esq., Richardson & Pa

Award FINRA DIapute Reeolution In the Matter of the Arbttration Between: Claimant Caae Number 10-01432 Welto Fargo Advisore, LLC Respondent Hearing Stte: ijoa Angetea, CalHbmte Ian Kari Stowere Nature of ttw Dtapute: Member va. Assodated Person REPRESENTATION OF PARTIES Claimant, Welte Fargo Advisore, LLC, hereinafter refened to aa "Weila Fargo' or "Claimanf: Timottiy N. WiH, Esq., Albert & Will, LLP, Tonance, Calttbmte. Reapondent, Ian K

Awanl FINRA Dtopule RaaokiOon to ttie Matter of ttie Arbttraflon Between: Ctetownt fitffiilUIDhflll 09-02893 Steven Sletol)afg Raanondent Hearing Stte: San Francteco, CaWbmte UBS Financial Servlcea Inc. Natore of ttw Diaputo: Cuatomerv. Mentar REPRESENTATION OF PAHTIBS Claimant Steven Stainberg, heralnaflar ralbned to aa "CtaimanT: Val D. Homateto, Eaq., Homateto Law Offlcea, San Frandaco, Callfomta. Reapondent, UBS Finandal Seivtoea

Award FINRA Dtepute Reeolution in the Matter of the Arisitration Between: Ctelmante Caae Number 09-02467 Dami K. Hsu and Gina T. Hsu, Tmstees of ttie Hsu Uving Tmst U/A 05/05/03 Dami K. Hsu Respondente Hearing SHe: San Frandaco, Califomte UBS Financtel Sen/ices Inc. Neil S. Gavande Mildred M. Peltzman Natore of the Diaputo: Customere vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimante, Darru K. Hau and Gina T. Hsu, T

stipulated Award FINRA Dtepute Resolutton In the Matter of the Ari3ttration Between: Claimant Caae Number 09-00711 Nortiiem Lighte Fund Truat Respondente Hearing Sfte: Portiand, Oregon Oppenheimer & Co., Inc. Oppenheimer Holdings, Inc. Albert Grinsfelder Lowenthal Elaine Keiia Roberte Angus Winn Oughtrad Lawrence Peter Spaulding Dennia Patrick McNamara Jeffrey Altano Nature of the Dtepute: Customer vs. Member, Non-Member, and

Award FINRA Dtepute Reeolution In the Matter of the Arbibation Between: Claimante Caae Number 09-01937 Rina Schwarz, Indhfldually, and as Trustee of the Rina Schwarz Revocabte 1996 Truat Reapondente Hearing Site: I.08 Angetea, Califomte Indlvklual Aaset Management D. TtKxnas Zachystal interactive Brokers LLC Cross-Claimant Interactive Broilers LLC Cross-Respondente Indivklual Asset Management D. Thomaa Zachystal Nature of

Award FINRA Diaputo Reeolution In the Matter of the Art)itration Between: Claimante Case Number. 08-02800 Lim Cheng Low Lee Fang Ng Reapondente Hearino Site: San Frandaco, CaHfomte Pyramki Financial Corp. (d/b/a Wyse Securities) Fengjui Sun Hsu (a.k.a., "Nancy Sun") John Hau Nature of the Disputo: Cuatomers va. Member and Aasociated Persons REPRESENTATION OF PARTIES Claimante, Um Cheng Low f Low^ and Lee Fang Ng fNg"), hereinafter col

Award FINRA Dtepute Resolution In the Matter of the Arbitratton Between: Clalmanta/Counter-Reapondente Caae Number 08-01327 AmnonKawa Annva HokJinga, LP. Reapondente/Counter-Ctelmante Hearing Site: Loa Angetea, CalHbmte Shiomo S. Eplbolm Michael Aldde Poutre, II Eplbolm, Poutre & Co. Nature of the Disputes: Customers vs. Associated Persona and Non-Member Associated Persons and Non-Member vs. Cuatomera REPRESENTATION OF PARTIES

Award FINRA Dispute Resolutton In the Matter of the Arbitration Between: Claimant Case Number: 08-01412 Gerard Chang Respondente Hearing Site: San Francisco, Calrfomla Citigroup Global Marinate, inc. Citigroup Smitii Barney, Inc. Deborah J. Tharp Paul D. Katemdahl Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Persons REPRESENTATION OF PARTIES Claimant, Gerard Chang: Pro Se, San Francisco, Callfomia Respond

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01109 Morgan Stenley Smith Barney LLC fClaimant") vs. James H. Sumpter ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Mauricio S. Beugelmans, Esq., Cole-Frieman & Beugelmans, LLP, New Yoric. NewYoric. Respondent dkl not appear. NATURE OF DISPUTE: Member v. Associated Pereon. DATE FILED: March 5, 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. Claim Date A