Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Claimants: Case Number: 08-03952 Crisostomo ("Tom") B. Garcia Crisostomo B. Garcia Trust Respondents: Hearino Site: San Diego, Califomia Gilford Securities Incorporated Stephen B. Kaplan Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Crisostomo ('Tom") B. Garcia, and Crisostomo B. Garcia Trust, hereinafter

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-00999 Wachovia Securities, LLC Respondent Hearino Site: San Diego. California Stephen P. Whitman Counter-Claimant Stephen P. Whitman Counter-ResDondent Wachovia Securities, LLC Nature of the Dispute: Memk>er vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wachovi

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number 09-00405 J.D. Benefield, Individually and as Tmstee of the Benefield Family Trust UAD 3/4/04 Mary 1. Benefield. Individually and as Trustee of the Benefield Family Tmst UAD 3/4/04 Name of the Respondents: Hearing Site: Lx)s Angeles, California Wachovia Securities, LLC Stifel, Nicolaus & Company, Incorporated Manuel D. Lozano David P. Lu

Award FINRA Disputa Resolution In the Matter of the Arbitration Between: Claimants Dale Seaman Gina Seaman Beaman Family Living Trust D and G Momentum, LLC ResDondents Ameriprise Financial Sen/ices, Inc. Walter Lee Coulter, 11 Momentum Investment Group, LLC Coulter Capital Management, LLC Coulter Capital Management. Inc. Cross-Claimant Ameriprise Financial Services, Inc. Cross-ResDondent Walter Lee Coulter, II Case Num

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Name of the Claimant Case Number: 08-04342 Dean Alexander Bordelon fsiame of the Respondent Hearino Site: New Orieans, Louisiana Royal Alliance Associates, Inc. Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES For Dean Alexander Bordelon, hereinafter referred to as "Claimant": Bryan Forman, Esq., Forman Law Firm, P.C., Tyler, Texas and Josep

stipulated Award FINRA Dispute Resolution In the Matter of the Ari3ltration Between: Name of the Claimant Case Number 09-00383 JNG Consulting. LLC Names of the Respondents Hearing Site: Boca Raton, Florida Dawson James Securities, Inc. Ari( Financial Services, Inc. Frank Nicholas Salvatore Douglas Fulton Kaiser Thomas K. Field William A. Fox Thomas W. Hands Robert Dawson Keyser, Jr. Albert James Poliak Nature of the Disput

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Howard L. Schultz Estate of Merle C. Schultz Names of the Respondents Professional Asset Strategies, LLC Charies Schwab & Co., Inc. Norman Berk, an individuai Names of the Third-Partv Respondents The Charles Schwab Corporation Andrew David Petrofsl< y Maureen Schultz Petrofsky Case Number: 08-04641 Hearing Site: Binningham, Alabama

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 08-03304 Oppenhelmer & Co. Inc. Name of the Respondent Hearing Site: Fort Lauderdale, Florida Sandra A. David-Siller Nature of the Dispute: Member vs. Associated Person. For Oppenhelmer & Co. Inc., hereinafter referred to as "Claimant": Cory S. Zadanosky, Esq., Zadanosky & Associates, P.A., Lake Worth, Florida. Sandra A. David

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Indian River Management, LLC Names of the Respondents Private Capital Management, LLP Charies Atkins Teresa Doane Case Number 09-02901 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Associated Person and Non-Member. REPRESENTATION OF PARTIES For Claimant Indian River Management. LLC. hereinafter refened to as "Claimant":

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00868 Robert John Klein ("Claimant") vs. TIAA-CREF ("Respondent") REPRESENTATION OF PARTIES: For Claimant Robert John Klein: John F. Hanzel, Esq., John F. Hanzel, P.A., Cornelius, North Carolina. For Respondent TIAA-CREF: Felicia Washington, Esq., K&L Gates, LLP, Chariotte, North Carolina. NATURE OF DISPUTE: Associated Person v. Member. DATE FILED: February 18, 2009. CASE SUMMARY: Claimant asserted the