AWARD FINRA Dteputo Resolution in the Matter of the Ariaibation Between: Name of Claimant Harold Canneli vs. Case Number: 09-04872 Hearing Site: Detroit. Michigan Names of Resoondents UBS Financial Services inc., David Kuhna. and Blake Arthur Pollock MATURE QF THE DISPUTE Customer vs. Member and Associated Persons REPRESEMTATIQM QF PARTIES Haroto Canneli ("CiaimanT) appeared pro se. UBS Financial Sennces Inc. ("UBS"), David Kuhna

STIPULATED AWARD FINRA Dteputo Resolution In the Matter of the Arbttration Bebween: Names of Claimante WILLIAM F. DAVIS IRA; MICHAEL H. ANTES AND JUDY K ANTES; MICHAEL ANTES IRA; MICHAEL ANTES; JUDY K. ANTES IRA; JUDY K. ANTES; JAMES J. ARNDT; JAMES J. ARNDT ROTH IRA; JAMES J. ARNDT IRA; JERRI K. ARNDT ROTH IRA; JERRI K. ARNDT IRA; ROGER C. BATES; ROBERT J. BROWN AND MARY L. BROWN; JOHN E. CLARK; RICHARD AND MELINDA KLEINEWEBER REV LIVING

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06952 Morgan Stenley Smith Barney LLC (Claimant) vs. Steven Luna (Respondent) REPRESENTATION OF PARTIES: For Claimant: Samuel P. Mauch, Esq., Saretsky Hart Michaels & GoukI PC, Binmingham, Ml. Respondent dkl not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATE FILED: December 14, 2009. CASE SUMMARY: Claknarrt asserted the cause of actton of teilure to repay sums due. The cause of

Award FINRA Dtoputo Resolution In the Matter of the Arbibatton Between: NIameoftheClalniant Case Number 09-00230 HalMulllns Name of the Respondent Hearing Site: Boca Raton. Ftorida UBS Financtel Servtoee Inc. Nature of the Dispute: Customer vs. Member. Pubito Art>itrator Pilot ProgFam/AII Publto Panel. REPRESENTATION OF PAICTIES For Hal Muillns, hereinafter referred to as "Cteimant": Steven D. Toskes, Esq., Kteyman &Toskes, PA. Boca Raton

Award FINRA DIsputo Resolution In the Matter of the Arbitration Between: Names of ttie Clalmante Case Number 09-02201 Gary A. Kurstin Tnist Ryan G. Kurstin Revocable Trust Scott A. Kurstin/CUS Gary Kurstin Bette Kurstin Decteratton of Trust Name of ttie Respondent Hearing Site: Boca Raton. Ftorida Citigroup Gtobal Marfcete, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gary A. Kurstin Trust fG. Kurstin

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-04070 East Tennessee Neurology, P.C. Profit Sharing Plan Name of the Respondent Hearing Site: Bimiingham. Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For East Tennessee Neurology, P.C. Profit Sharing Plan, hereinafter refened to as "Claimant": Page Poerschke, E

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01113 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC vs. Fred Brown REPRESENTATION OF PARTIES: For Daimant: Renan Sugarman, Esq., Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 5,2010 CASE SUMIMARY: Claimant asserted the foHowing cause of action: breach of promissory note. Claim Data Claim: $102,186.57 Interest $5,456.88 C

Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) v. John C. Zannakis, William E. Wolfson, and Citigroup Global Markete. Inc. (Respondente) Case Number: 07-02623 Hearino Site: Philadelphia, Pennsylvania Natore of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter refened to as "Claimant": John E. MacDonald, Esq., Ste

stipulated Award FINRA Dteputo Resolution In ttie MaVtar of ttie Artittnition Between: Names of the Claimante Case Number 0&-QS418 Gerato R. Miitor, as Tmstee of ttie Gerato R. Mlltor Revocabte Trust Alba Putoam, as Trustee of ttm Fredertcic C. Putnam and Alba C. Putnam Living Trust Agrsement Eugene H, Lefebvre IRA Danny L. Beaver IRA Otto N. and Cynttite M. Bte Rafeel E. Castro IRA John S. Damioo and Mary L. Damlco Oscar Hopldns and

Award FINRA Dispute RasoluUon In the Matter of the Arbttration Between: Name of ttie Claimant Case Number 09-05916 Davkl H. Miller N^pfi^ of ttie Respondent Hearing Sfte: Attanta, Georgia Ameriprtee Financial Services. Inc. Nature of ttie Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For David H. Milter, hereinafter referred to as 'Claimant': William G. Ljoonard, Esq., Taytor English Duma LLP, Attente. Georgia. For Amer