Award FINRA Dispute Resolution In the Matter of the Ari>itration Between. Robert C. Young (Claimant^ vs. Merrill Lynch Pierce Fenner & Smith, Inc.. and Charles Steven Tebceira (Respondents) Case Number: 08-01910 Hearing Site: NewYorl< , New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert C. Young hereinafter referred to as "Claimant" appeared pro se. Respondente Memll Lynch Pierce Fenner

Award FINRA Dispute Resolution in the Matter of the Arbitratbn Between: Jed Prevor (Claimant) vs. Cohen Specialists LLC and Interactive Brokers LLC (Respondents) Case Number 08-03748 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Member of AMEX. REPRESENTATTON OF PARTIES Claimant Jed Prevor herelnanBr referred to as "ClaimanT appeared pm se. Respondent Cohen Specialists LLC CCohen'^: Christopher Cacace, Cohen Spedalis

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02027 Mark Kaplan (Claimant) vs. UBS Financial Sen/ices Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Felix M. Phillips, Esq., Phillips & Potach, P.A., Minneapolis, MN. For Respondent appeared Dan A. Rosenbaum, Esq., UBS Financial Services Inc., Weehawken, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 10, 2009 CASE SUMMARY: Claimant asserted the following causes of action: mis

Award Data Award: $4,862.20 Interest: at the rate of 5.13% per annum from August 29, 2008 until the award Is paid Costs: $525.00 AWARD: The undersigned arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant the sum of $4,862.20. 2) Respondent is liable for and shall pay to Claimant interest at the rate of 5.13% per annum from August 29,

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-01677 Mamita M. Crow and Jan C. Scmggs Wayne HIgglns, Executor of the Estate of Lorraine Higgins Shiriey Diane Jones Louis M. Kelley Ronald B. and Katherine H. Killary Paul and Shirley Vandertsurg Janice C. Ware Name of the Respondent Hearing Site: Birmingham, Alabama l\4organ Keegan & Company, Inc. Nature of the Dispute

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04790 Cliaries E. Solalc 401K Profit Sharing Plan Names of the Respondents Hearing Site: Fort Lauderdale, Florida Thomas Weisel Partners, LLC Jeffrey J. Parr John H. Shaw Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charies E. Solalc 401K Profit Sharing Plan, hereinafter referred

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01078 Elaine B. Lustig ("Claimant") vs. UBS Financial Services Inc., Linda Susan Inman and Barry Pollara ("Respondents") REPRESENTATION OF PARTIES: Claimant appeared pro se For Respondents UBS Financial Services Inc., Barry Pollara and Linda Susan Inman: Randi Perry Spallina, Esq., UBS Financial Services, Inc., Fort Lauderdale, Florida. NATURE OF DISPUTE: Customer v. Member and Associated Person. DATE FILED: Fe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 08-03311 Doug H. Brown, II Njame of the Respondent: Hearing Site: Reno, Nevada Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Doug H. Brown, II, hereinafter referred to as "Claimant": Jan Graham, Esq.. Graham Law Offices, Salt Lake City, Utah Respondent Charies Schwab & Co., I

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wells Fargo Investmente, LLC Name of the Respondent David M. Bryant Nanro of the Counter-Claimant: David M. Bryant Name of the Counter-Respondent: Wells Fargo Investments, LLC Case Number 06-04407 Hearing Site: Los Angeles, Califomia Nature of the Disputes: Member v. Associated Person Associated Person v. Member REPRESENTi

Award FINRA Diapute Reaolution in the Matter of tiie Art)itratlon Between: Claimant Case Number: 08-00368 Ahmad Ahmadian ResDondente Hearing Site: Denver, Colorado Wachovia Securities, LLC Calvin Boyd Mason Nature of the Dispute: Customer vs. Member and Associated Peraon REPRESENTATION OF PARTIES Claimant, Ahmad Ahmadian, hereinafter referred to as "Claimant": Thomas M. Haskins, Esq., Silver & DeBoskey, Denver, Colorado. Respondente,