AWARD FINRA DISPUTE RESOLUTION CASE: 09-03765 Randel Kendall. Individually and as Trustee of the Kendall Family Living Trust Under Agreement dated 10/28/03 (Claimants) vs. Morgan Stanley & Co., Incorporated (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Seth L. Hanson. Esq., Roseville. CA. For Respondent appeared Braden O. Wilhelm, Esq., Morgan Stanley Smith Barney LLC, San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DAT

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03565 Main Street Securities, LLC (Claimant) vs. Jack Allen Burkhart (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Rodney K. Vincent, Esq., Vincent Law Office, Lincoln, NE. Respondent appeared pro se, Lees Summit, MO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 8, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. ARBITRATOR'S REPORT: The

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03315 Sandra Vincent (Claimant) vs. Ferris Baker Watts and Its Successor in Interest, RBC Dain Rauscher (a/k/a) RBC Wealth Management and Richard Alan Fishbach (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey A. Sellers, Esq.. Coconut Creek, FL. For Respondents appeared Daniel J. Donovan, Esq., Donovan & Rainle, LLC, Baltimore, MD. NATURE OF DISPUTE: Customer v. Members and Associated Person

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01931 Ellen Baron (Claimant) vs. Banc of America Investment Services. Inc., and Mark l-tolland (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared William S. Bonnheim, Esq., William S. Bonnheim, PLC, Palm Desert. CA. For Respondents appeared John Bamford. Esq., Fulbright & Jaworski. L.L.P.. Los Angeles. CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 8, 2009

Award FINRA Dispute Resolution In tlie Matter of the Arbitration Between: Daniel Russo and Barbara Russo (Claimants) vs. Wachovia Securities. Inc. f/k/a A.G. Edwards & Sons Inc., and IVIichael Greene (Respondents) Case Number: 09-00742 IHearina Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Daniel Russo ("D. Russo") and Barbara Russo ("B. Russo"), hereinafter collectivel

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Laura Quigley (Claimant) vs. Eugene W. Tuite, Wachovia Securities, LLC, and Ralph A. Saviano (Respondents) Case Number. 08-02791 Hearing Site: Newarl^, New Jersey Nature of the Dispute: Customer vs. I\^emberand Associated Persons REPRESENTATION OF PARTIES Claimant Laura Quigley hereinafter refen-ed to as "Claimant": Theodore M. Davis, Esq., Law Offices of Theodore Davis, Esq., L

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Diane J. Reach vs. Case Number: 08-02238 Hearing Site: Pittsburgh, Pennsylvania Names of ResDondentsn"hird-Partv Claimants Oppenheimer & Co., Inc. and Philip K. Cimino vs. Name of Third-Party Resoorwlent William C. Resch NATURE OF THE DISPUTE Customer vs. Member and Associated Person Diane J. Resch ("Claimant" or "Ms. Resch") a

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arisitration Between: AXA Advisore, LLC vs. KirkWestermann Case Number 09-04741 SITUS: Chariotte, North Carellna NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: AXA Advisors, LLC, hereinafter refan^ to as "Clalmanf: Kenneth O'Connor, Esq.. Lublner & Schmidt, L.L.C., Cranfbrd, New Jersey. Respondent did not enter an appearance In this matter. DATE FILED: August 12,2009

Award FINRA Disputa Reaolutlon In the Matter of the Arialtration Between: Names of the Claimant Case Number: 09411588 John Brian Busacca Names of the Respondents H^^rino Site: Oriando. Florida Timothy Ward Bruce Blatman Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES John Brian Busacca, hareinafter referred to as "Claimant", appeared pro sa. Respondent Timothy Ward ("Ward"), appeared pro se. F

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joe Carico vs. Case Number: 08-00780 Hearing Site: Charleston, West Virginia Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Marsha Adkins, and Robert Powers, Jr. Customer vs. Member and Associated Persons Joe Carico ("Claimant") was represented by Douglas V. Reynolds, Esq.. Reynolds & Associates, PLLC, Huntington, West Virginia.