Award FINRA Dtoputo Reeolutton in ttie Matter of ttie Afbttration Between: Ctelmant Case Number 0^411933 Andre Hawit Respondent Hearing Site: San Frandaoo, CaWbmta UBS Financfel Sen/lcea Ina Natore of the Diapute: Customer vs. Member REPRESEMTATIQM OF PARTIES Ctaimant, Andre Hawtt, hereinafter refened to as 'X)taknant": Andre Hawtt, Foster City, Carribmta. Respondent, UBS Flnandai Services Inc., herainatter raferrad to as *Ytospondenf: A

Awmrd FINRA DIsputs Raaolution In tha Matters of ttie Art>ltratton Between: Clai Stab Holdings, LLC John Scott VM>er Reapondent Thomas V\toisel Partners LLC And: CUmaot: Thomas Weisel Partners LLC RfiMondente: John Scott Weber Stab Holdings. LLC Case Number. 00^1548 Hearing SHe: Las Vegas, Nevada SuboidlnfltB Case Number 0M2016 Hearino sue: Las Vegas, Nevada Nature of the Disputes: Master ConsoHdated Case 09-01548

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Morgan Keegan & Company, Inc. (Claimant) v. Robert McLelian (Respondent) Case Number: 09-04239 Hearing Site: Boston, Massachusetts Nature of the Dispute: MemlDor vs. Customer. REPRESENTATION OF PARTIES Claimant Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Charies M. Daiziei, Jr.. Esq.. Brock, Clay, Calhoun & Rogers, LLC. Marietto, GA. Respondent Robert M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Phillip D. Newman (Ciaimant) vs. Chase investment Sen/ices Corp. (Respondent) Case Number: 09-03339 Hearino Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Phillip D. Newman hereinafter refened to as "Claimant": Brian M. Cige, Esq.. Law Offices of Brian M. Cige, Somen/ille, NJ. Respondent Chase Investment Sen/ices

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: i^aric R. Patterson (Claimant) vs. Menili Lynch & Co., Inc., and Meniii Lynch. Pierce. Fenner & Smith, inc. (Respondents) Case Number: 09-01920 Hearing Site: Newartc, New Jersey Nature of the Dispute: Associated Person vs. Non-Member and Member REPRESENTATION OF PARTIES Claimant Marie R. Patterson hereinafter refened to as "Claimant": i^nce J. Goti(o, Esq.. Friedman, Kaplan. Sel

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen J. Ketchum (Claimant) v. Banc of America Securities, LLC (Respondent) Case Number 08-01341 Hearinc Site: New Yori^, New Yorit Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Ciaimant Stephen J. Ketohum hereinafter refiened to as "Claimant": Jonathan R. Sack, Esq., Sack & Sack, New Yortc. NY. Respondent Banc of America Securities, LLC, herei

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: NamflaofClaimanta Leo A. Steck and Mary L. Steck, Individually and as Trustees of the l.eo A. Steck Tnjst, the Sally P. Umberg Trust, the Mary L. Steck Revocable Trust, the Mary L Steck VFL Toist, and the Mary L Steck EAL Tmst vs. Case Number. 09-01829 Hearing Site: St. Louis. Missouri Namea of Respondents Huntieigh Securities Corporation. James Steele McC

AWARD FINI^ Dispute Resolution in the Matter of the Arisitration Between: Names of Claimante Cari M. Noble, Jr. and Sandra J. Noble vs. Case Number: 09-00558 i-iearing Site: Chicago. Illinois Names of Resoondente IHowe Bames i-ioefer & Amett, Inc. and Theodore Edward Williams NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESEMTATIQM OF PARTIES Cari M. Noble, Jr. and Sandra J. Noble ("Claimante") were represented

Award FiNRA Dteputo Reeolution In the Matter of the Arialbation Between: Claimant Case Number 09-03937 HanyA. Salzman Respondente Hearing Site: Denver, Cotorado American Ciasste Financtel Company Ftorence Rosenthal Ktoin Natore of the DIsputo: Customer vs. Member and Assodated Person REPRESENTATION OF PARTIES Claimant, Hany A. Salzman. hereinafter referred to as "Claimant": Derek C. Anderson, Esq.. Michaels. Ward & Rabinovttz, LLP. Boulde

Asvard FINRA Dtaputo naeolutlen In ttie Matter of ttie Arbltratton Beteieen: Claimants: Case Number 09411822 JossphSlmaa JoAnneStoiaa Hearing SHa: San Frandsoo, CdMbmta Chase Investefient Sen^toes Corp. formeriy known as WAMU investmente. Inc. Jim M. McBravy Jackson Nattonal Lite Dtatributora LLC Jackaon ftattonai Lite Insurance Company Natore of the DIsputo: Customere vs. Membere, Assodatsd Person and Non-Member REPHEaElfTATlON OF PA