Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Charies Kuper (Claimant) v. Morgan Steniey & Co, Inc., and Stephen Penweli (Respondents) Case Number. 08-04607 Hearing Site: Boston. Massachusette Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Peter Charies Kuper hereinafter refened to as "Claimant": Patricia Washienko, Esq., Wagner Coolc Freiberger & Washienl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Marion E. Behan and Brian P. Behan (Claimants) vs. Marsco Investment Corporation (Respondent) Case Number: 09-04718 Hearino Site: New Yortc. NewYori^ Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Marion E. Behan ("M. Behan") and Brian P. Behan ("B. Behan"), hereinafter collectively referred to as "Claimante": Benjamin Lapin, SMRC, Inc., Brooklyn

Award FINRA Dispute RaMlullon In the Matter of the Arbitration Betwfeen: Ciaimant Caae Number 09-03874 Morgan Staniey Smith Barney Ragpondent Hearing Site: San Diego. Califbmia Wiliiam Jonathan BetUs Nature of the Dispute: Membervs-Associatad Person REPRESENTATION OF PARHES Ciaimant, Morgan Steniey Smitti Barney, hereinafter referred to as "Morgan Staniey" or "Ciaimant": Patridc J. Foian, Esq., SL John Waiiace, Brennan & Foian, LIP, Tonance,

Award FINRA Dtepute Raaoluflon 1 n the Matter of ttw Art>ttrBtion Between: MameoftfwCteimant C w NymfrOT 09^142 DonddS. Rose Names of ttw Respondente Hearing Stte: Fort Ljauderdate. Ftorida AXAAdvtoore,LLC Howard Steven Wblkowttz BrinkerCapttal. inc. Nature ofthe Dteputo: Customer vs. Member, Assodaled Person snd Non-Member. RgPRESENTATION OF PARTIES For Dondd S. Rose, herdnaftor refened to as "^taimantr: Marie A. Tapper, Esq., Marie

Sllputetod Award FINRA Dtepute Reeolution In ttie Matter of the Arbttratton BetMreen: CUbttOt Case Number 09-03808 Cttigroup Globd Marirete Ina Rwrnriffflt Hearing SHa: Los Angeles, Califomte Kevin Craig SaHc Natore ofthe Dispute: Member vs. Assodatad Person REPRESENTATTQN OF PARTIES Ctelmant Cttigroup Global Maricete Inc., herdnaftor rdbrrad to as "Cteimanf: Michael Jacob Ewart, Esq., HHIte Cteric Martin & Peterson, P.S., Seattte, Washington

AWARD FINRA Dteputo Resolution In ttie Matter of ttie Arbttratton Between: Name of Claimant Thomas Edwin Lxigan vs. Names of Respondente Lincoto Finandal Distributore, Inc., Peter Kelly Sims, and Toni P. Moninger And Case Number 09-03394 Hearing Stte: San Dtego, Califomte LIncdn FInanctel Distributore, ina vs. Name of Counter-Respondent Thomas Edwin Logan NATURE OF THE PISPUTg Asaodated Person vs. Member and Associated Per

Award FINRA Dteputo Raeohitton In ttie Matter of the Artittration Between: Ctelmanl^Counter-RaBDondent Case Number 09^744 Cttigroup Global Marirela, Ina RegpondenttCounter-Ctelmant HwringSte: Anchorage, Atesiai Thomas Leo Stoner Natore ofthe Dtoputes: Member vs. Associated Person Assoctetsd Person V. Member REPRESENTATION OF PARTIES Cteimant/Countor-Raspondent Cttigroup Global Maricete. Inc.. hereinafter referred to "CteimanT: Yana Kr

StIpulatodAwanI FINRA Dteputo Reedutton In ttie ItMter of ttw Arisltration Between: Name of ttie Cteknant Case Number 0S-027e7 CIttgroup Gtobal Mariceto, Ina n/kfe Morgan Stanley SmKh Barney LLC Name of ttie Reaoondent Hearino Site: Houston, Texas Jeffirey B. Thompson Name of ttie Countar-Cteknant Jeffirey B. Thompson Name of ttie Counter-ResDondent CWgroup Gtobal Maricete, Inc. n/kfe Morgan Stanley Smitti Barney IXC NatufeoTSputo

Award FINRA Dteputo Raeohitton In the Matter of the AiUlratton Between: Ctelmant Case Number 0&-0383S John C. Jones Respondente Hearino SHa: San Frandsoo. CalHbmte WUIs Fargo Invesbnente. LLC Robert Arthur Lenz Evan Ganett SarKhez Nature ofthe Dispute: Customer vs. Member and Aaaodated Persons REPRESENTATION OF PARTIES Ctelmant John C. Jones hereinafter rsferrad to as Xteimant:: Matthew K. EdIIng, Esq.. Cotchett, PKrs & McCarttiy, Bur

Award FINRA DIapufes Reeolutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number 0ft4)4291 The Selan Family Tnjst dd 8/25/85 Hamt Irf tht RMWrritnt Haarino site: Loa Anolea. CaHinmia Citigroup Globai iMarfcels, Inc. Nature of the Oiapute: Customer vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATIQM OF PAIfflEg Claimant The Selan Family Trust dd 8/25/85, herelnaflar referred to as Xlaimanr*: