Award FINRA Dteputo Resolution In ttie Matter of the Arbibation Betvween: Cteiffiant CaseNuniber 09-05774 Wbiis Fargo Advisore, LLC f/kte Wachovia Securities, LLC Respondent: Hiring Site: Los Angeles, Caiifomia Michael Wiiiiam Lopez Natore of the Dispute: Member v. Associated Person REPRESENTATIOW OF PARTIES Claimant Wblls Fargo Advisors, LLC fMa Wschovia Securities, LLC, hereinafter refened to as "Claimant": Jonathan E. Levine, Esq., Law Off

AWARD FINRA Dteputo Reeolution in the Matter of the ArbitaBtion Between: Names of Claimante John A. Lozes. KIric Baenwaklt. Maxine Baenwadit, Timothy Storge, DonaM N. Patten, and Nader Naklb vs. Case Number 09-02855 Hearing Site: Kansas City. Kansas Name of Respondent E'TRADE Securities. LLC MATURE OF THE DISPUTE Customers vs. Member REPRESEMTATIQN OF PARTIES John A. Lozes, Kiric BaerwakK. Maxine Baenivadit, Timothy Storge. DonakJ N.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: NameofCiaimant Matthew L. Weisberg vs. Case Number 09-02619 i-learing Site: Detroit, Michigan Name of Respondent UBS Financiai Services inc. NATURE OF THgDISPUTF Associated Person vs. Member REPRESENTATION OF PARTIES Matthew L. Weisberg fCiaimanr) was represented by Anthony V. Trogan. Jr.. Esq., Anthony V. Trogan. P.L.L.C.. West Bioomfieid. Michigan. UBS Fina

Award FINRA DIsputa Resolution In the Matter of the Arbitration Between: Name of the Claimant^) Case Number: 08-02687 Allegiant Securities, L.L.C. Name of the Respondent's) Hearing Site: Miami, Florida Ira Jay Weinstein Nature of Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Allegiant Securities, L.L.C, hereinafter referred to as "Claimant": Alan M. Wolper, Esq., LocKe Lord Bissell and Llddeli, LLP, Atlanta, Georgia.

AWARD FINRA DIsputo Resolution In the Matter of the Arbitration Between: Names of Ciaimante / Counter-Resoondente NRP Financial, Inc., National Retirement Partnere, Inc., and NRP Advisore, inc. vs. Case Number: 09-03246 Hearing Site: Indianapolis, Indiana Names of Resoondente / Counter-Cialmante Walker Bate Retirement Group, inc.. Wade Alan Walker, and Jeffrey Brian Bate MATURE OF THE DISPUTE Member and Non-Membere vs. Non-Member

AWARD FINRA Dtepute Resolution In the Matter of the Art)itration Between: Name of Claimant Greg Merdinger, as Trustee of the Greg Merdinger Revocabte Trust u/a dated June 15,2004 vs. Case Number: 00-03475 Hearing Site: Chicago, Illinois Names of Resoondente Raymond James Financial, Inc., Raymond James & Associates, Inc., and Raymond James Financial Sen/ices, Inc. NATURE OF THE DISPUTE Customer vs. Non-Member and Memt>ere REPRESENT

AWARD RNRA Dispute Resolution In the Matter of the Art)itration Between: Names of Clalmante Jozsef Bedocs and Mabte Bedocs vs. Case Number: 07-02811 Hearing Site: Detroit, Michigan Names of Resoondente GunnAllen Rnanclal, Inc., Quester Capital Corporation, Frank J. Bluestoin, Maximum Rnanclal Group, inc., and F.F., Inc. and NameofCross< :iaimant GunnAllen Rnanclal, inc. vs. Name of Cross-Respondent Quester Capital Corpo

Award FINRA DIsputa Resolution In the Matter of the Aribitration Between: Name of the Claimant Case Number. 0&^ie48 Joseph J. Demty Mr. Joseph J. Demty, IRA Name of the Respondent Hearing Site: Miami, Florida Thinkorswim, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATK)N OF PARTIES r Claimant Joseph J. Demty ("Demty^ appeared pro se and on behalf of Claimant J. Demty, IRA flRA"). For Thinl«)rswim, Inc., hereinafter r

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Clainwtnt Sandra L. Kobel vs. Case Number 08-04163 IHearing Site: Dallas, Texas Names of Respondents 1st Giobai Capital Corp., 1st Giobai, Inc., 1st Giobai Advisors, Inc., 1st Giobai Insurance Services, Inc., 1st Giobai Retirement Sen/ices, Inc., and Cessford Alton Prentice MATURE QF THE DISPUTE Associated Person vs. Member, Non-Members, and Associated Pe

AWARD FINRA Dteputo Reaoiution In the Matter of the Art)ttration Bebveen: Name of Claimant Scott Skinner vs. Case Number 09-04033 Hearing Stte: Houaton, Texas Name of Respondent Menill Lynch, Pierce, Fenner & Smtth Inc. NATURE OF THE PI8PUTE Associated Person vs. Member REPRESErtTATlQN OF PARTIES Scott Skinner ("Claimanr) was represented by Brian D. Buckstein, Esq., Brian D. Buckstein, P.A., West Palm Beach. Florida. Menill Lynch,