AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bruce W. Marks vs. Case Number: 10-05620 Hearing Site: Cleveland, Ohio Names of Respondents Morgan Stanley DW, Inc., Linda Lee Cain, Timothy Lorne Adkins, Cindi DeLeo and Gene Ray Rice NATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Bruce W. Marks ("Claimant") appeared pro se.

AMENDED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gerald D. Dassow and Mary T. Dassow, Individually and as Trustees of the Gerald and Mary Dassow Trust DTD 8/6/04, Gerald D. Dassow, as Trustee of the Timothy G. Dassow Trust DTD 10/20/99, Gerald D. Dassow, as Trustee of the Anthony G. Dassow Trust DTD 10/19/99, Gerald D. Dassow, as Trustee of the Michele M. Dassow Trust, DTD 10/19/99, an

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Sen^ices, Inc. vs. Case Number: 10-03063 Hearing Site: Kansas City, Missouri Name of Respondent Mark S. Wood NATURE QF THE PISPWTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Sen/ices, Inc. ("Claimant") was represented by Michael T. Roche, Esq., Schuyler, Roche, & Crisham, PC, Chicago, Illinois.

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01360 Cheryl Horrigan-Happy (Claimant) vs. Morgan Stanley Smith Barney and Joseph Girardin (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Fred H. Freeman, Esq., Law Offices of Fred H. Freeman, Farmington Hills, Ml. For Respondents appeared Gregory B. Simon, Esq., Morgan Stanley Smith Barney, LLC, Chicago, IL. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FIL

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Donald Insul, Jacquelyn Hicks, Lillian Jalass, and Lillian Jalass Trust vs. Name of Respondent / Third-Party Claimant Morgan Keegan & Company, Inc. vs. Names of Third-Partv Respondents Paragon Advisors, Inc. and Terence C. Sullivan Case Number: 09-05510 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Customers vs. Member

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Morgan Stanley & Co., Incorporated Case Number: 10-02848 vs. Respondent H. Anthony Huss, Jr. Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley Smith Barney, hereinafter referred to as "Claimanr: Alan S. Brodherson, Esq., Law Office of Alan Brodherson, New York

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Claimant John F. Burke, Jr. Case Number: 10-01810 vs. Respondent CIBC World Markets Corp. Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant John F. Burke, Jr., hereinafter referred to as "Claimant": Michael E. Grenert, Liddle & Robinson, L.L.P., New York, NY. Respondent CIBC Worl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01452 Erica Michaliga vs. Respondents Hearing Site: Philadelphia, Pennsylvania Citigroup Global Markets, Inc. f/k/a Smith Barney Mary McEvoy-Dockeray Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Erica Michaliga, hereinafter referred to as "Claimant": Christopher B. Jones, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06379 RBC Wealth Management, a division of RBC Capital Markets Corporation vs. Respondent Hearing Site: New York, New York Richard D. Rothenberg Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant RBC Wealth Management, a division of RBC Capital Markets Corporation, hereinafter referred to as "Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants John B. Roberts, as Trustee Gerald E. Rupp, as Trustee and Individually Case Number: 08-00443 vs. Respondents Nancy Abraham Oppenheimer & Co., Inc. Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants John B. Roberts, as Trustee ("Roberts"), and Gerald E. R