Award FINRA Dtopute Reeolutlon In ttie Matter of ttie Artsitration Between: Names of ttie Claknante Tammte L. Lewis Tammte L Lewis as Tmstee of ttie Tammie L. Lewis Revocabte Trust WHIiam E. Lewie, Jr. ae Trustee of the Tammie L. Lewis Revocabte Trust Names of ttie Rasoondente Kattiy J. Gordon Gordon Finandai Services, Inc. TMGHoMingCo.,lnc. The Medallton Advisory Services, LLC MedalHon Investment Services, Inc. Case Number 09-045

StipulatMl Award nNRA Dispute RMolutlon In the Matter of the Arbttralion BetMeen: Name off the Claimant CffigJilyQ^fiC 09-03535 Citigroup Global Markets, Inc. d/b/a Smith Barney Name of the Respondent Hiring $lt?; Little Rock. Arkansas John Edward MartfsM Nature of the Dispute: Memt>er vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Gk)t)al Maiketo, Inc. d/ti/& Smith Bamey, hereinafter referred to as "Claimanr: Catenia Fach

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bruno Weber (Claimant) vs. JB Oxford & Company and Brian M. Schl(eryantz (Respondents) Case Number 09-07176 Hearing Site: New Yoric, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Bruno Wet3er CWeber") hereinafter refened to as "Claimant": Magdalena Fiunger, Esq., Marziilier, Dr. Meier & Dr. Guntner Attomeys, Munich, Germany.

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Invest Financial Corporation (Claimant) vs. William M. Banks (Respondent) Case Number: 09-04856 SITUS: New York, New York. NATURE OF DISPUTE: Member vs. Associated Person REPRESENTATION OF PARTIES Invest Financial Corporation hereinafter referred to as "Claimant": Luigi Spadafora, Esq., Winget, Spadafora & Schwartzberg LLP, Stanrford, CT. Respondent did not enter an appearance i

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Lynn Schecter, Jason Schecter. and Lissa Fial (Claimants) vs. Citigroup Global Marfcets, inc. d/b/a Ctti Smith Bamey, Chuclcs A. Roberts, Stephen G. Condos, and The Condos and Roberto Group (Respondente) Case Number: 0&-00294 Hearinc Site: New York, New York Nature of the Dispute: Customers vs. Member, Associated Persons, and Non-member. REPRESENTATION OF PARTIES Claimante Lynn

AWARD FINRA Dtepute Reeolution In the Matter of the Ariaitration Between: Names of Claimante Michael Sadowski and Carolyn Sadowski vs. Case Number 07-03619 Hearing Site: Detroit, Michigan Names of Resoondente GunnAllen Finandai, Inc., Frank J. Bluestein, Maximum Financial Group, Inc., and F.F., Inc. NATURE OF THE DISPUTg Customers vs. Member, Non-Members, and Associated Person REPRESENTATION OF PARTIES Michael Sadowski and Carolyn Sad

AWARD FINRA Dispute Reeolution In the Matter of the Ari3itration Between: Name of Claimant Donald W. Russell, Individually and as Trustee of the Donald W. Russell Living Trust vs. Case Number 08-00612 Hearing Site: Detroit, Michigan Names of Resoondente GunnAllen Financial, Inc., Questar Cepltal Corporation, Franic J. Bluestein, and Maximum Financial Group, Inc. and Name of Cross^iaimarrt/Cross-Respondent GunnAllen Financial, Inc.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Merrill Lynch, Pierce. Fenner & Smith, Inc. vs. Case Number 09-05543 Hearing Site: Detroit, Michigan NameofRegoondent Brent Haag MATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith, inc. ("Meniii Lynch" or "Claimant") vras represented by Edward G. WInsman, Esq., Rubin, Fortunate & Har

Award FINRA Dispute Resolution In the Matter of the Art^itration Between: Nicholas Spencer Reeve indivkluaily and on behalf of Prostar 2000 (Claimants) vs. Granta Capital Group LLC, Michael Ronald Passero, Ross H. Mandell, Robert Lewis Goss, and Stephen William Shea (Respondents) Case Number 09-02329 Hearing Site: New Yoric. New Yoric Nature ofthe Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Nicholas Spencer Reeve ("

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00404 Aberth (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Marvin S. Goldstein, Ph.D., Atlante. GA. For Respondent appeared Brandon K. Hemley, Esq., Charles Schwab & Co., Inc., San Francisco. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 25, 2010 CASE SUMMARY: Claimant asserted the following causes of action: negligence and Improper l