AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Merrill Lynch. Pierce. Fenner & Smith, Inc. vs. Case Number 09-03513 Hearing Site: Houston, Texas Name of Respondent Jason Cooney 0I8PUTE Member vs. Assodated Person Merrill Lynch, Pierce. Fenner & Smith, inc. ("Claimanr) was represented by Monica M. Liftman, Esq.. Rubin. Fortunate & Harbison. PC, Paoli, Pennsylvania. Jason Cooney ("Respondent")

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Diana F. Ricicetti (Claimant) vs. Barclays Capital, Inc. (Respondent) Case Number! 10-01071 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Diana F. Ricketti hereinafter refened to as "Claimant": Sheree Donath, Esq., Sklover, Donath & Felber, LLC, New York. NY. Respondent Barclays Capital Inc., h

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06550 Yin Qu (Claimant) vs. Fidelity Brolcerage Sen/ices LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Pleasanton, CA. For Respondent appeared Philip A. McLeod, Esq., Keesal, Young & Logan. San Francisco. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 14, 2009 CASE SUMMARY: Claimant asserted the following cause of action: violation of fiduciary duty. Claim Data

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06482 William A. Tudor and Kathleen Tudor, Jointly, and William A. Tudor (Claimants) vs. Charies Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimante appeared William B. Young, Jr., Esq., Colling, Gilbert, Wright & Carter. Orlando, FL. For Respondent appeared Sean B. Meehan, Esq., Charies Schwab & Co., Inc., San Francisco. CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: November 1

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05911 Robert D. Willcutt and Nancy J. Willcutt (Claimants) vs. UBS Financial Services Inc., Richard Crews, and James Healey (Respondente) REPRESENTATION OF PARTIES: For Claimants appeared Nancy J. Willcutt. Ludlow, MA. For Respondente appeared Hasan Ibrahim. Esq.. UBS Financial Services, Inc., Weehawken, NJ. NATURE OF DISPUTE: Customers v. Member and Associated Persons DATE FILED: October 13. 2009 CASE SUMM

Award FINV^ Dispute Resolution In the Matter of the Ari3itration Between: Mary Wickett, Executrix of the Estete of Zona Mrus (Claimant) vs. Advantage Capitel Corporation and Robert J. Vogel, CFP (Respondente) Case Number: 09-05490 Hearing Site: Buffalo, New Yoric Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Mary Wicicett, Executrix of the Estete of Zona Mrus. hereinafter referred to as "Claimanf

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: James Kane and Agnes Kane (Ciain^ante) vs. Aura Financial Services, Inc. (Respondent) Case Number: 09-05423 SITUS: New Yoric. New Yoric NATURE OF DISPUTE: Customers vs. Member. REPRESENTATION OF PARTIES: James Kane and Agnes Kane hereinafter collectively rsfened to as "Claimante": Benjamin Lapin, SMRC, Inc., Brooldyn, NY. Respondent Aura Financial Services, Inc. ("Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Tullett Prebon Financial Services LLC v. Citigroup Global Maricete, Inc. and Citigroup Gtobal l^aricete, Lto. Case Number: 09-02635 Hearing Site: New Yoric. New Yorit Nature of the Dispute: Member vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Tullett Prebon Financial Services LLC hereinafter referred to as "Claimant": Thomas B. Kinzler, Esq., Kelley Drye & Wamen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cheryl Katz (Claimant) vs. Stenley Wong, Oppenheimer & Co. Inc., and Commerce Capitel Markete, Inc. (Respondente) Case Number 09-00351 Hearing Site: Albany, New Yoric Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Cheryl Katz hereinafter refen^ to as "Claimant": Marie T. Starionan, Esq., Jacobowitz & Gubits, LLP, Walden, NY.

AWARD FINRA Dispute Reeolutlon In the Matter of the Arbitration Between: Names of Claimante William Henry Monroe II and Bart)ara Susan Monroe, Individually, William Henry Monroe II and Bariaara Susan Monroe, for their joint accounts, William Henry Monroe II and Barbara Susan Monroe, on behalf of their IRA accounts, William Henry Monroe II and BariE>ara Susan Monroe, on behalf of their Trust accounts, and William Henry Monroe II, as Custodian of t