AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley Smith Barney, LLC vs. Case Number: 10-04208 Hearing Site: Chicago, Illinois Name of Respondent Christian Habitz NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Barney, LLC ("Claimant") was represented by Matthew Schurter, Esq. and Gregory B. Simon, Esq., Morgan Stanley Sm

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Estate of Daniel Thomas Hardy, 111 Estate of Susan Hardy Killgore Daniel Thomas Hardy, IV Mary H. Spivey vs. Respondent Stifel, Nicolaus & Co., Inc. Case Number: 10-03472 Hearino Site: New Orieans, Louisiana Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Estate of Daniel Thomas Hardy, III, Estate of Susan Ha

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Annette M. Burton Case Number: 10-03937 vs. Respondents Advent Securities, Inc. Community Bankers Securities, LLC Richard Edward Landi William Clarke Scott Waterford Investor Services, Inc. Hearinc Site: Richmond, Virginia Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimant Annette

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 09-03598 Aurum STS Aggressive Trading LLC Respondents/Counter-Claimants/Third-Partv Hearing Site: San Francisco, California Claimants Soci6t6 GSn^rale, Soci6t6 G^n^rale Warrants Limited N.V., SG Americas Securities, LLC, and Cowen Group, Inc. Third-Party Respondent Dr. Atef Eltoukhy Nature of the Dispute

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-02080 Bernard W. Rothschild, individually and on behalf of the Bernard Rothschild Revocable Living Trust U/A/D 12/01/94, as amended and restated on March 18, 2008, and as president of The Bernard W. Rothschild Foundation, Inc. vs. Respondent Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., d/b/a Smith Barney Nature of

( 1 AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Paul J. Allgyer and Mary E. Brown vs. Case Number: 09-05754 Hearing Site: Houston, Texas Name of Respondent Ameriprise Financial Services, Inc. NATURE OF THE DISPUTE Customers vs. Member Public Ariaitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES Paul J. Allgyer and Mary E. Brown ("Claimants") were repres

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Frederick H. DiRienzo Johanna C. & Frederick H. DiRienzo As Joint Tenants The 1992 Irrevocable Trust for the Benefit of Kathryn K. Pilot Cynthia S. Pilot Alyssa C. DiRienzo Amara L. DiRienzo a/ka Amara L. Hildebrand Deborah T. Holstein Deborah S. Lutz Case Number: 10-01011 vs. Respondents Banc of America Investment Services In

Award FINRA Dispute Resolution in the Matter of tiie Arbitration Between: Claimant Case Number: 10-04030 Jeanne B. Smiley vs. Respondent Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Jeanne B. Smiley, hereinafter referred to as "Claimant': Richard S. Frankowski, Esq., Burke Han/ey & Frankowski, LLC, Birmingham, Alabama. For Morgan Keegan & C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-02985 RBC Capital Markets LLC vs. Respondent Hearing Site: San Francisco, California Mark Colby Davidson Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant RBC Capital Markets LLC, hereinafter referred to as "Claimant": David H.S. Commins, Esq., Commins & Knudsen, San Francisco, CA. Respondent Ma

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-05160 Hang Thanh Bui vs. Respondent Hearing Site: Newark, New Jersey Wells Fargo Advisors, LLC Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Hang Thanh Bui, hereinafter referred to as "Claimant": Walter Birkel, Esq., Law Offices of Walter G. Birkel, P.C., Washington, DC. Responden