Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gary William Mohammed (Claimant) v. Deutsche Banic Securities, Inc. (Respondent) Case Number 08-01222 Hearina Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Gary William Mohammed hereinafter refenred to as "Claimant": Blaine H. Bortnick, Esq.. Liddle & Robinson, L.L.P., New Yoric, NY. Respondent Deutsche Bank Se

Award FINRA Dispute Resolution In the Matter of the Art3itration Between: Paulson Investment Company, Inc. (Claimant) vs. Gary Melius and Roger Bahnik (Respondents) vs. RBC Correspondent Sen^ices and John L. Donahue (Third-Party Respondents) Case Number: 09-00005 Hearina Site: New Yoric. New Yori< Nature of the Dispute: Initial Claim: Member vs. Customers. Third-Party Claim: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES

AWARD FiNI^ Disputo Rssoiution In the Matter of the Arbitratton Between: Names of Claimante WRK, LLC, Anne K. and Wiliiam L. Porter Foundation, Inc., Kinport Corporation, Mary S. Kinder Trust, and Arilngton Properttes, Inc. vs. Case Number 08-03219 Hearing Site: Omaha, Nebraska Names of Respondente Wachovia Securities, LLC and Wachovia Securities Financial Networic, LLC NATURE OF THE DISPUTE Customere vs. Membere REPRESENTATIO

AWARD FiNRA Dtopute Resolution In the Matter of the Arisitration Between: Name of Cteimant Paul V. Gosiger vs. Case Number: 08-01389 Hearing Site: Cincinnati, Ohio Name of Respondent UBS Financial Services, Inc. f/k/a Gradison MciDonakI Financial Group MATURgQFTHEDISPUTg Customer vs. Member REPRESENTATION QF PARTIES Paul V. Gosiger f Claimant" or "Gosiger^ was represented by Russell S. Sayre. Esq., Tafl Slettinius & Holllster, LLP

AWARD FiNRA Diaputo Resolution In the Matter of the Art)ittBtion Between: Names of Claimante The Elayne S. Woifenson Tmst, Elayne S. Woifenson, Trustee and The Marvin E. Woifenson Trust, Elayne S. Woifenson and Mannn E. Woifenson, Trustees vs. Case Number 09-03579 Hearing Site: Minneapoite, MInnesote Names of Respondente Wells Fargo Investmente. LLC and Todd D. Baker NATURE OF THE DISPUTE Customere vs. Member and Associated Person

AWARD FINRA Disputo Resolution In the Matter of the ArfoitFation Between: Names of Cteimante Marie O. Btomker, Indhndually and as Representetive of the Estate of Joseph W. Blomicer. and the Blomker Family Revocabte Tmst vs. CaseNumt>er 09-02538 Hearing Site: Houston, Texas Names of Respondente Charies Schwab & Co.. Inc.. Lincoln Financial Dtetributora, Inc., Financial Synergies Asset Management, Inc., and Michael Booker and Names

AWARD FINRA Dispute Resolution In the Matter of the Ariaitretion Between: Names of Claimante Jonathan Mores Seltzer, SEP liRA, Jonatiian Morse Seltzer, IRA Contributory, Jonathan Morse Seltzer, Roth Contributory IFRA, Susan Oehter Seltzer, IRA Contributory, and Susan Oehter Seltzer, Roth Contributory If^ vs. Case Number 09-01053 Hearing Site: Minneapolis, Minneapolis Name of Respondent Charies Schwab & Company, Inc. NATURE OF THg DISP

Award nNRA Dteputo Reaolutlon In the Matterof the Art>itratton Between: Name of the Cteimant Case Number 0M1323 Robert H. Craig, IndMdually, as Owner and Benefictery of the Robert H. Craig IRA, and aa Tnistae of the Robert H. Craig Revocabte Uving Trust U/A/D1/28/07 Names of the Respondente Hearino Site: Tampa, Ftorida Investora (^apttal Corporatton Wiiltem B. Gordon Nature of the Dteputo: Customer vs. Member and Associated Person.

Award FINRA DIaputa Resolution In the Matter of the Arbitration Between: fteme of the Claimant Case Number 08-00499 Elizabeth Wblfe Fowler Name of the Respondent Hearing Site: New Orieans, Louisiana Morgan Keegan & Company, Ina Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Elizabeth Wolfe Fowler, hereinafter refened to as 'Claimant': KIrtc Reasonover, Esq., Reasonover & Olinde, LLC, New Orieans, l.ouisiana. For

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities. LLC (Claimant) vs. Nancy GrifTiths-Lawton (Respondent) Case Number: 09-04787 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Memt>er vs. Associated Pereon. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter refened to as "Claimant": Renan I. Sugarman, Esq., Renan Sugarman, P.C, Chicago, IL. Respondent Nancy Grifnths-I.aw