AWARD FINRA DISPUTE RESOLUTION CASE: 09-05684 Laurens M. Hoppenbrouwer (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Washington, DC. For Respondent appeared Angela A. Turiano, Esq., Bressier, Amery & Ross, New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 2, 2009 CASE SUMMARY: Claimant alleged that he incurred a loss when Respondent re- registered his account

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06414 Sharon McKlttrick Coulton TTEE FBO S. McKittrick Trust (Claimant) vs. UBS Financial Services Inc., Loy Dean McGowan. Scott Vehslage, and David Steven Goldberg (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Jocotepec, Mexico. For Respondents appeared Alise Johnson, Esq., UBS Financial Services Inc., Fort Lauderdale, FL. NATURE OF DISPUTE: Customer v. Member and Associated Persons DA

Award FINRA Dteputo Reaolutlon in the Matter of the Art)itration Between: Claimant Case Number 08-02931 Wachovia Securities, LLC Respondent Hearing Site: Los Angeles, Calitomte Rumy Lopez Natora of the Dtepute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimanf or "Wachovia": Jonathan E. Irvine, Esq., Law Office of Daniel S. Flore, Ariington, Virginia. Respondent

AWARD FINRA Dteputo Reaolutlon In the Matter of the Arbitration Between: NameofClainriant Citigroup Global Maricete, Inc. vs. Case Number 08-04881 Hearing Site: Detroit, Michigan Name of Respondent Scott C.Nicol NATURE OF THg DISPUTE Member vs. Associated Peraon REPRESENTATION OF PARTIES Cttigroup Gtobal Maricete, tnc, ("Cteimanr) was represented by Gregory B. Simon, Esq., Kane & Fischer, LTD, Chicago, Illinois. Scott C. Nicol ("R

AWARD FINRA Dtoputo Reeolution In the Matter of the Arbttration Between: Names of Claimante The Roe Green Foundation, Eugene A. Kratua, Trustee, The Roe Green Trust, Eugene A. Kratua, Trustee, The Minette B, Fisher Family Trust, Eugene A. Kratus, Trustee, and The Nanette L. Fisher Family Trust, Eugene A. Kratus, Tmstee vs. Caae Number 08-01973 Hearing Site: Clevetand, Ohio Names of Respondente Charies Schwab & Company, Inc.,

AWARD FINRA Dteputo Reeolution in the Matter of the Arbttration Between: Name of Claimant/Counter-ResDondent Banc of America investment Services, inc. vs. Name of ResDondent/Counter-Ciatmant William E. Snooks Case Number 08-02119 Hearing Site: Kansas City, Missouri MATURE OF THgPISPUTg Memt)er vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Sen/ices, inc. ("Claimanf or "BOA") was represented by Ronald Kane,

AWARD FINRA Dteputo Reaolutlon in the Matter of the Aristtration Between: Names of Claimante Harold and Mary Johnson, JTWROS vs. Case Number: 09-00360 IHearing Stte: Oklahoma Ctty, Oklahoma Names of Respondente A.G. Edwards & Sons. Inc. and Thomas Henry Avant NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Harold and Mary Johnson, JTWROS ("Claimant") was represented by Terry D. KordeliskI,

stipulated Award FINRA DIapute Reeoiiitlon In ttie Matter of ttie Aristtration Bebveen: Name of ttia Claimant Case Number 08-04907 Henri Btoto NwwoUhgnwpofriwn FMSbonde, Inc. Namaaof ttie Third Pati Reaoondante Hearing Site: Ft iJUidardato, Ftorida Fkteltty Brokerage Sefvteea, LLJC Michael BorgtoU t4ature of ttie Disputo: Customer vs. Member va. Member and Aaaodatad Peraon. REPRESEWTATIQN OF PARHES For Henri Blato, hereinafter ref

Award FINRA Dteputo Reeolution In the Matter of the Arit)ttration Between: Namea of ttie Claimante Case Number 09-00809 Merc L. Krever June O. iOever Names of ttie Raaoondente Hearing Site: Boca Raton. Ftorida Cttigroup Gtobal Maricete, Ina Ronaki Lloyd Fishtwin Natora of the Dtepute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marc L. Krever and June G. Krever, hereinafter coilectivety referred to as "Cte

Award FINRA Dtoputo Reeolution In the Matter of the Art>ttration Between: Name of ttie Cteimant Case Number 08-03123 Citigroup Gtobel Mariceto, Inc. d/b/b Smtth Barney Names of ttie Respondente Hearing Site: Waahtooton. D.C. Peter F. Dunne (3eorgeA.Dunn LoriVanDusen DavMMattte Bnjce\Atell Winship l^oss l^tohard Vankuran Jeffrey Wagner Thomas Hawks Jeffrey Santos James Henson Dougtes Smtth (Convergent Weatth