AWARD FINRA Dtepms Rseolullon In the Matter of the Arbitration BelMieen! MannaaQfCteimante VlrgMa Lal» Towmhouaea, LLC, a Daiawaie LimHad UabMy Company; Bradford Kbhtenberg; and UBS Tnnt Company of Dalaswue. as Trustee of the Bradford Kohtonberg QualHtod Dtoposttion Trust Datod 6n5^2006 vs. CaaaNumbar 08-03982 Hearing sua: ljosAngeiaa,CaWbmta fjamaaofRaannnriante RBC Capital Martrete Corporation, a Minnesota Corporation; Stan

Award FINRA Dteputo Reaolutfon In ttie Matter of the Art)itration Between: ClaiQiant SaHy D. Frederick Respondente DonakI L. Hartmann Haiimarit Consulting Group, Inc. JRL Capital Corporation Michael A. Abraham Cross-Claimante Donald L Hartmann Hallmari( Consulting Group, Inc. JRL Capitel Corporation Cross-Respondent Michael A. Abraham Cross-Claimant Mtohael A. Abraham Cross-ResDondent JRL Capital Corporation Ca

Award FINRA Dteputo RaaduHon In tiie Matter of the Arbttration Between: Cteimant Case Number 09-01477 Intevac, Inc. Reaoondante Hearing Site: San Frandsoo, Califomte Citigroup Gtobal Maricete, Inc. Citigroup Inc. Nature of the Dispute: Customer vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant, Intevac, Inc., hereinafter refenred to as "Claimanf: Robert L. Schnell, Jr.. Esq.. and Lelf T. SImonson, Esq., Faegre & Benson LLP, Min

Award FINRA Dteputo Raaolutlon In the Matter of the Ari3itration Between: Cteimant CaaaNumbar 1(M)0169 Wdte Fargo invesbnente, LLC Respondent Hearing Site: San Frandsoo, Califbmte WllllamJohnBartok Nature of the DIsputo: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, VM\s Fargo Invesbnente, LLC, hereinafter referred to as "Claimanf: Gregory B. Simon, Esq., Kane & Fischer, LU., Chicago, lllinon. Respondent, William John B

Awapd HNRA Dtepirte Resolution In tha Matter of tha ArbNraiion Between: SMmA CaaaNumbar 07-02734 JamOa Arapovic a/k/ia Jannite Kabir aMte Piamlta Arapovic pyflffl]j^^^^^ Hearing SHa: Los Angelas, CalHbmte WMto Fargo Investmanto, LLC VM B Fargo Bank, N A And; WMIs Fargo Investmsnts, LLC Countar-Reapondent Jamlta Arapovic a/kte Jamite Kabir a/k/a DJamlte Arapovte Nature of tho DIsputss: Assodatsd Person vs. Mambar and Non-Mambar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Louise S. Hodge Multiple Powers Liquidity Trust by Mun^y W. Popkave, Tmstee (Claimant) vs. John Hancock Distributors, LLC (Respondent) Case Number 09-03616 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Louise S. Hodge Multiple Powers Lk^ukiity Trust by Munray W. Popkave, Tmstee hereinafter referred to as "C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Amundsen (Claimant) vs. IDX Derivatives, LLC and Jamie Cawley (Respondente) Case Number: 09-01863 Hearing Site: New Yoric, New Yori( consolidated with IDX Derivatives, LLC (Claimant) vs. Morton international Corporation, COPS Woridwide, inc., Joseph Amundsen, Jesse Bookheim, Aaron Gilbert, Dan Ovemiyer and Edward Overmyer (Respondente) Case Number: 09-04109 Hearin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dan Breslauer (Claimant) v. Bear Steams & Co., Inc. (Respondent) Case Numt>er 07-00695 Hearing Site: New Yoric, New York Nature of the Dispute: Associated Person vs. Memt}er. REPRESENTATION OF PARTIES Claimant Dan Breslauer hereinafter referred to as "Claimant": Rot)ert B. Stult}erg, Esq.. Broach & Stulberg. LLP, New York, NY. Respondent Bear Steams & Co., inc., hereinafter refe

STIPULATED AWARD FINRA Dteputo Resolution In the Matter of the Arbitration Between: Names of Claimante Fidelity Brokerage Senrices, LLC and FMR, LLC vs. Case Number 10-01781 Hearing Site: Cincinnati. Ohio Names of Respondente Andrew Henries, William Doepker, and Steven O'Connor NATURE OF THE DISPUTE Memk>er and Non-Member vs. Associated Persons REPRESENTATION OF PARTIES Fidelity Brokerage Sennces, LLC ("Fidelity'O and FMR, LLC fFMR")

AWARD FINRA Dispute Resolution In the Matter of the Ariaitratlon Between: Name of Claimant Michael Kokoszka vs. Case Number 09-05002 Hearing Site: Detroit, Michigan Name of Respondent Curtis C. Wright NATURE OF THE DISPUTE Associated Pereon vs. Customer REPRESENTATION OF PARTIES Michael Kolcoszka ("Claimant") was represented by Samuel P. Mauch, Esq., Saretslcy Hart Michaels & Gould PC, Birmingham, Michigan. Curtis C. Wright ("Resp