FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02628 Harley L Bjelland. A.P.C. and Harley L. Bjeliand, ("Claimants") vs. Kelly Dougherty and UBS Financial, Inc., ("Respondents") ATTORNEYS: Claimants appeared Pro se, Mission Viejo. CA. For Respondents appeared Kathleen S. Adams, Esq., in-house Counsel. UBS Financial, Inc.. Los Angeles, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: July 29. 2008

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02526 Oppenheimer & Co., Inc., ("Claimant") vs. Joanna Roland f/k/a Joanne O'Rourke. ("Respondent") ATTORNEYS: For Claimant appeared John McGuire, Esq., In-house Counsel, New York, NY. Respondent Joanna Roland f/k/a Joanne O'Rourke did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: July 23. 2008 CASE SUMMARY: Claimant

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02996 Sabato Frusciante, ("Claimant") vs. UVEST Financial Services Group, Inc. and David Edward Kunold. ("Respondents") ATTORNEYS: For Claimant appeared Louis RisCassi, Esq., West Hartford, CT. For Respondents appeared Sara B. Davis, Esq., In-house Counsel, LPL Financial Corporation, Boston, MA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 25, 2008

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03988 Nani K. Hogle, Trustee for Nani K. Hogie Trust, ("Claimant") vs. Charies Schwab & Co., ("Respondent") ATTORNEYS; Claimant appeared Pro se, Park City, UT. For Respondent appeared Brandon K. IHemley, Esq., In-house Counsel. San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 27, 2008 CASE SUMMARY: Claimant alleged that Respondent failed to contact h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John Scott (Claimant) vs. Great Eastern Securities. Inc.. and Myrtle J. Gilpin-Morgan (Responderrts) Case Number: 08-02311 Hearing Site: Newark. New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John Scott hereinafter referred to as "Claimant": Liam O'Brien, Esq., McCormick & O'Brien. LLP. New York. NY. Responden

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04207 Alex Roiniotis, ("Claimant") vs. E*Trade Securities LLC, ("Respondent") ATTORNEYS. Claimant appeared Pro se, Wood Dale, IL. For Respondent appeared John Bersin. Esq.. in-house Counsel, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 12. 2008 CASE SUMMARY: Claimant alleged that Respondent failed to deliver a prospectus regarding a rights offering for

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent CarlW.Busch vs. Names of Respondents / Counter-Claimants Southwest Securities, Inc., SWS Financial Services, and SWS Group. Inc. Name of Claimant Southwest Securities. Inc. vs. Name of Respondent Carl W. Busch Case Number: 07-02338 Hearing Site: Oldahoma City. Oidahoma Consolidated with: Case Number: 07-0

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03434 James D. Meyers and Gertrude A. Meyers, ("Claimants") vs. Sandra Fuller and The Huntington Investment Company, ("Respondents") ATTORNEYS: Claimants appeared Pro se, Macomb, Ml. For Respondents appeared Dennis J. Concilia, Esq., Cariile, Patchen & Murphy LLP, Columbus, OH. NATURE OF DISPUTE: Customer"vrMember and Associated Person^ DATE FILED: December 4. 2007 CASE SUMMARY

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Jack Perry by its Executrix Jean Zivitz (Claimant) vs. Prudential Equity Group (Respondent) Case Number: 08-02214 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Estate of Jack Perry by its Executrix Jean Zivitz hereinafter referred to as "Claimant": Debra G. Speyer, Esq.. Law Offices of Debra G. Speyer. E

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants / Counter-Respondents William L. Peterson, Pamela A. Peterson, and Vanl< y Men vs. Case Number: 08-01635 Hearing Site: Minneapolis, Minnesota Names of Respondents / Counter-Claimants Gale Ridge Financial Services Group, Inc., Oak Ridge IHolding Corporation, Jon En/ing Berg, Richard Danze Husebo, Marc Howard Kozberg, Michael David Leonard, Susanne H