AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Jerry W. Wiley and Grisei M. Wiley, Individually and as Trustees and Owners of the Grisei Wiley Living Trust, Jerry W. Wiley Irrevocable Life Insurance Trust, and Grisei Wiley Irrevocable Life Insurance Trust vs. Name of Respondent Ameriprise Financial Services, Inc. Case Number: 10-04374 Hearing Site: Kansas City, Missouri NATUR

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Steven B. Horn, Sr. Case Number: 11-02458 vs. Respondent Whitehall Wellington Investments, Inc. Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Steven B. Horn, Sr., hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann Gildin Robbins & Oppenheim LLP, New

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01806 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. John P. DeAlto Jr. (Respondent) REPRESENTATION OF PARTIES: For Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Sean G. Duffy, Esq., Rubin, Fortunate & Harbison P.C., Paoli, PA. Respondent John P. DeAlto Jr., hereinafter referred to as "Respondent" appeared pro se. NATURE OF DISPUTE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Raffaele Gambardella Case Number: 11-01042 vs. Respondent Sebastian G Bongiovanni Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimant Raffaele Gambardella, hereinafter referred to as "Claimant": Richard A. Roth, Esq., The Roth Law Firm, PLLC, New York, NY. Respo

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01004 Joan Benedict, an Individual and as Executrix of the Estate of George A. Benedict (Claimants) vs. Centaurus Financial, Inc., and Patrick Robert (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Robert Talbot, USF Investor Justice Clinic, San Francisco, CA. For Respondents appeared Dave Lenny, Esq., Santa Clarita, CA. NATURE OF DISPUTE: Customers v. Member and Associated Person. DA

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00818 UBS Financial Services Inc. (Claimant) vs. Michael A. Ewanouski (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Frank J. Vitolo, Esq., Riker, Danzig, Scherer, Hyland & Perretti LLP, Morristown, NJ Respondent did not enter an appearance. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 24, 2011 CASE SUMMARY: Claimant asserted the following causes of action

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-04227 Illuminated Solutions, Inc. Robert Zveibil vs. Respondents Hearing Site: Miami, Florida Banc of America Investment Services, Inc. National Financial Sen/ices LLC Nature of the Dispute: Customers vs. Members REPRESENTATION OF PARTIES For Illuminated Solutions, Inc. and Robert Zveibil, hereinafter collectively referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-03779 Cynthia A. Osofsky and R. Sidney Osofsky, JTWROS vs. Respondents Hearino Site: Columbia, SC Morgan Stanley Smith Bamey Bridget Shaw Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Cynthia A. Osofsky and R. Sidney Osofsky, JTWROS, hereinafter collectively referred to as "Claimants,"

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Nick Roberts Bohmann vs. Case Number: 10-04177 Hearing Site: Houston, Texas Names of Respondents New England Securities, Metlife Securities, Inc., Marc Wyatt Colby, and Michael Nile Priede NATURE OF THE DISPUTE Associated Person vs. Members and Associated Persons REPRESENTATION OF PARTIES Nick Roberts Bohmann ("Claimant") appea

AWARD FINRA DISPUTE RESOLUTION CASE: 11-02283 UBS Financial Services Inc. vs. Humbert A. Michini REPRESENTATION OF PARTIES: For Claimant: Megan A. Smith, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Respondent Humbert A. Michini appeared pro se. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: June 7, 2011 CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. Relief Requested Compensato