Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Synergy Healthcare Consulting, Inc., Paul A. Rothman, Trustee Paul A. Rothman, SEP IRA Paul A. Rothman and Sharon A. Dash, JTWROS Names of the Respondents Scott & Stringfellow, Inc. Georgia French Mark French Case Number: 03-07341 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Pers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Clyde Phillips, Claimant v. Wedbush Morgan Securities and Michael P. Farah, Respondents Case Number: 03-07340 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jerry A. Kaplan, Esq. Kaplan, Kenegos & Kadin Beverly Hills, California For Respondents: Gary L. Holmes, Esq. Wedbush Mor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dias George (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Henry D'Onofrio (Respondents) Case Number: 03-07332 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Dias George ("George") hereinafter referred to as "Claimant" appeared pro se. Respondents Merrill Lynch, Pierce, Fenner &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Stephen J. Boylan Name of the Respondent Wedbush Morgan Securities, Inc. Case Number: 03-07330 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Stephen J. Boylan, hereinafter referred to as "Claimant": David A. Weintraub, Esq., David A. Weintraub, P.A., Fort Lauderdale, Florida. For M

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Peter Esterka and North American Pastoral Center for Czech Catholics, Claimants v. Barren Chase Securities, Inc., Robert Andrew DiCarlo, Jr., and Shawn Adam Lipson, Respondents Case Number: 00-01530 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondent Barren Chase Securities, Inc.: For Respondent Robert Andrew DiCarlo, Jr.:

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Respondents J.J.B. Milliard, W.L Lyons, Inc., and Steve E. Anderson Case Number: 03-07329 Hearing Site: Detroit, Michigan NATURE OF CASE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Roger Frasz and Susan Frasz ("Claimants") were represented by Brian Witus, Esq., Hertz, Schram & Saretsky, P.C., Bloomfield Hills, Michigan.

NASD REGULATION, INC, REVISED AWARD In the Matter of the Arbitration Between Name of Claimant The Robinson Humphrey Co., Inc. Case No. 95-02455 vs. (Consolidated with 95-02462) Name of Respondents Russell L. and Kishiko H. Powell and Anthony Powell REPRESENTATION For Claimant, The Robinson Humphrey Co., Inc. ("Robinson Humphrey"), appeared Woody Hong, Esq., of the Law Offices of Mark J. Alonso located in New York, New York. For Respondent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marilyn P. Corcoran and Marilyn P. Corcoran IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Marilyn Pearl Schapiro (Respondents) Case Number: 03-07327 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Marilyn P. Corcoran ("Corcoran") and Marilyn P. Corcoran IRA ("Corcoran

Modified Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Steven J. LaBorde and Angelo J. Colello, Claimants v. G&W Equity Sales, Inc., Respondent Case Number: 03-07324 Hearing Site: New York, New York Nature of the Dispute: Associated Persons v. Member REPRESENTATION OF PARTIES Claimants, Steven J. Laborde and Angelo J. Colello hereinafter collectively referred to as "Claimants": Richard C. Szuch, Esq., Dillon, Bitar &

HNRAD Finr R a In the Matter of Arbitration Between Case: Reyes Rivera, Nemesio v. UBS Financial Docket: 2007-016674 Attorneys: For Claimant(s): Alfredo Castellanos, Esq. and Woleska L. DelValle Rivera, Esq. - San Juan, Puerto Rico For Respondent(s): Guillermo J. Bobonis, Esq. and Enrique G. Figueroa, Esq. - San Juan, Puerto Rico Date Filed: 2/02/2007 First Scheduled: 2/28/2008 Decided: 2/24/2011 Case Summary: Customer claiman