AWARD FINRA DIsputa RMOlutlon In the Matter of the Arbitration Between: NameofCiaimant Michael Jamail vs. Case Number: 09-02644 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Byron A. Meads NATURE QF THE DISPUTE Customer vs. Member and Associated Person RgPRESEMTATIQM OF PARTIES Michael Jamaii f Claimant") a/k/a George Michael Jamail, Esq., TTie Reaud Law Firm. Beaumont, Texas rep

Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Franic Dottori (Claimant) v. Robert Joiin Lucarelll, Jr. and Ameriprise Financial Services, Inc. (Respondents) Case Number: 09-03920 Hearino Site: IHartford, Connecticut Nature of tiie Dispute: Customer vs. i^^ember and Associated Person REPRESENTATION OF PARTIES Claimant Franic Dottori hereinafter referred to as "Claimant": Timothy P. Gunning, Esq., Kinney, Secola & Gunning, N

Post Award Addendum FINRA Diapiito Raaoiutlon In the Matter of the Arbttration Between: NameofiheClalmanta: CaSftHUEDhfiT 08-00455 David L Woods and Twila R. Wbods, Trustees of The Wbods Family Living Trust dated July 27,1998 Nanf» of the Reaoondents: Hearing SBa: Phoenbc, Arizona Raymond H. Johnaon Pinnacle Advisors Group, LLC WFG Investments, Ina National Financial Services LLC TTw Panel conducted ttie evidenttary hearing May 5 -13,2009

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Menill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Elison Elliott (Respondent) Case Number 10-01324 Hearing Site: New Yori^, New Yoric Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Merriii Lynch, Pierce, Fenner & Smith incorporated ("Claimant"): Beth Delaney, Esq., and Jeffrey F. Manzella, Esq., Rubin, Fortunato & Harbison

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00034 Stephen L. Halpem Profit Sharing Plan, Stephen L. Haipern, Trustee (Claimant) vs. Merriil Lynch, Pierce, Fenner & Smith incorporated (Respondent) REPRESENTATION OF PARTIES: For Ciaimant appeared Stephen L. Haipern, Camarilio, CA. For Respondent appeared Eric J. Giassman, Esq.. Mennemeier, Glassman & Stroud, LLP, Sacramento, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 2, 2010 CASE SUM

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: UBS Financiai Services Inc. (Ciaimant) vs. Robert Szigeti (Respondent) Case Number: 09-07249 Hearino Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Ciaimant UBS Financiai Services inc., hereinafter refened to as "Claimant": John D. Miller, III, Esq., UBS Financiai Services inc., Weehawlcen, NJ. Respondent did not e

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-07246 Bijan Hakimpour (Claimant) vs. Scottrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Marina Del Rey, CA. For Respondent appeared Brandon S. Reif, Esq.. Winget, Spadafora & Schwartzberg LLP. Los Angeles, CA and Alexander T. Moore, Esq., Scottrade. inc., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 14, 2009 CASE SUMMARY: Claimant aiieged damages as a

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-07236 Ronald S. Smith, Ronald S. Smith Trustee for Ronald S. Smith, a Law Corporation (Claimants) vs. Michael J. Scher, Wachovia Securities LLC, Weils Fargo Advisors, LLC, and Wachovia Securities Financiai Network, LLC (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Ronald S. Smith, Los Angeles, CA. For Respondents appeared William S. Port, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07168 Cecelia Wilson Cooic (Claimant) vs. Randall A. Dyches, Jr., LPL Financiai Corporation and Plantetion Federal Bank (Respondents) REPRESENTATION OF PARTIES: Ciaimant appeared pro se, Pawleys island, SC. For Respondente Randall A. Dyches, Jr., and LPL Financiai Corporation appeared Jennifer L. Carpenter, Esq., LPL Financiai Corporation, Boston, MA. Respondent Plantetion Federal Bank did not enter an appearance i

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-07107 David A. Noyes & Company (Ciaimant) vs. Brian J. Harris (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Robert L. Cram, Esq., David A. Noyes & Company, Indianapolis. IN. Respondent appeared pro se, Wiiiowbrooic. IL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 17. 2009 CASE SUMMARY: Ciaimant asserted the foiiowing cause of action: breach of Employment and Loan Agre