Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Wood and Lloyd Doteon (Claimante) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Case Number: 09-03629 Hearino Site: New Yori^, New Yorit Natore of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimante Robert Wood ('Wood'')and Lloyd Doteon ("Doteon"), hereinafter collectively referred to as "Claimante": Richard Slavin, Esq.,

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Michael Jacobs, individually, as custodian for Jeffrey Jacobs and Julie Jacobs, and as Trustee tor the Diane Jacobs Disclaimer Trust ("Claimante") vs. UBS Financial Sen/ices. inc. ("Respondent") Case Number: 09-02400 Hearing Site: New Yorte, New Yorie Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimant Michael Jacobs, individually ("M. Jacobs"), as cu

I ' 1 stipulated Award FINRA Dispute Resolution in the Matter of the Arisitration Between: Zain Abdullah (Claimant) vs. Calyon Securities (USA), Inc.. Calyon S.A.. and Credit Agricoie. S.A. (Respondente) Case Number. 08-00873 Hearino Site: New Yori^. New York Nature of Dispute: Associated Person v. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Zain Abdullah ("Claimant"): JefFrey L. Liddie. Esq., and Michael E. Grenert. Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Keith J. Steidle, Roderick T. Norman, and Michael S. Asteshicevich (Claimante) vs. Granite Securities. LLC. Obsidian Financial Group, and Princor Financial Services Corp. (Respondente) Case Number: 07-02912 Hearing Site: Newari(, New Jersey Nature of the Dispute: Associated Persons vs. Members. REPRESENTATION OF PARTIES Claimante Keith J. Steidle ("Steidle"). Rodericlc T. Norman

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01715 Morgan Stenley & Co., Incorporated Name of the Resoondent Hearing Site: Ft. Lauderdale, FL Joe M. Cantu Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley & Co.. Incorporated, hereinafter referred to as "Claimant": Stephany D. McLaughlin, Esq., Kane & Fischer, Ltd., Chica

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Official Unsecured Creditors' Committee of Bayou Group, LLC (Claimant) v. Goldman Sachs Execution & Clearing, L.P. and Spear Leeds & Kellogg, L.P. (Respondents) Case Number 08-01763 Hearino Site: New York. New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant The Official Unsecured Creditors' Committee of Bayou Group, LLC hereinafter re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Scott D. Thayer (Claimant) vs. Richard A. ("Ricic") Liberty d/b/a Liberty investments and Commonwealth Financial Networi( (Respondents) Case Number: 08-04123 Hearing Site: Augusta, Maine Nature of the Dispute: Customer vs. Associated Person and Memt)er. REPRESENTATION OF PARTIES Claimant Scott D. Thayer hereinafter referred to as "Claimant": Elliott L. Epstein. Esq.. Piclcus & E

Award FINRA Dteputo RaeoMlon to ttie Matter of ttie Arbttratton Between: NamaofttiaCMnMnl Case Number 09-03055 VMS Fargo Inveottnento, UC ItomeofttieRasnondent Heflflnfl SIIP: San Francteco, CA Joseph Carto Ortega, Jr. Natore ofttie DIsputo: Member vs. Assodatad Person REPRESENTATION OF PARTIES Cteknant, Wsis Fargo Invesbnente, IXC, hersinafter raflsnred to as "X^laknantr: Jki-Ho Chung. Esq., I^ne & Ftecher, LU., Chtoago, INtoote.

Award FINRA Dteputo Reeoluflon to ttie Matter of ttie Art>ttratfon Between: Claknante Case Number Oft^ieBS Kennetti S. L Chkig AnttaN.Chkig Rawiondante HwrJnfl ?BK Honolulu, Hawaii Charies Schwab & Co., Ina Gregory Man Hong Kwan Nature of the Diapute: Cuatomers vs. Member and Assodaled Person REPRHENTAHQN OF PARTieS Claimante, Kennetti S. L Ching and Antta N. Chtog, heretoafter ooltecttvely referred to as "Claimanto': Margery S. Brons

Awsffd FINRA Dteputo RseoMon to ttie Matter of ttie Aibteatfon Betefeen: CMniMte PWttHumhr 084N)812 Aykta Mohamad itirshlni Alwarsslh RaMMndsnt ^^aarinoSae: San Francteco, CaMbinte TDAnierKrade,lna TDAmeribade, ha Aylda Mohamad Ibrahim Alwareetti Nattira of the Dispute: Customers vs. Msmber Msmbsr vs. Customsrs BEPREmitrATIONQFPARnea Ctelmants/Counter^Respondsnte, i^fida Mohamad and Ibrahim Atemeetti, hafetoetter coDec