Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Robert Stafford, Sr. Cynthia Stafford Robert Stafford, Jr. vs. Respondent Morgan Stanley Smith Barney Case Number: 10-02979 Hearing Site: Los Angeles, California Nature of the Dispute: Customers vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimants Robert Stafford, Sr., Cynthia Stafford, and R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02869 Paula Fives-Taylor vs. Respondent AXA Advisors, LLC LPL Financial LLC Charles Nelson Dinklage Hearing Site: Montpelier, Vermont Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant Paula Fives-Taylor, hereinafter referred to as "Claimant": Chad N. Cagan, Esq., Sonnen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant UBS Financial Services Inc. Case Number: 10-03797 vs. Respondent Benjamin Alvis Gentry, Hearing Site: Nashville, Tennessee Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services Inc., hereinafter referred to as "Claimant": Stephen J. Brown, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Be

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant UBS Financial Services Inc. vs. Respondent David Crook Case Number: 10-03268 Hearing Site: Atlanta, Georgia Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": Michael W. Starr, Esq., Riker Danzig Scherer Hyland PerrettI LLP, Morristown

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number:' 10-00434 Southwire Company vs. Respondent Hearing Site: Atlanta, Georgia First Tennessee Brokerage, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Southwire Company, hereinafter referred to as "Claimant": Robert Palmersheim, Esq., Schopf & Weiss LLP, Chicago, IL. For First Tennessee Brokerage, Inc., her

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02299 Dramm, Inc. vs. Respondent Hearing Site: Miami, Florida UBS Financial Sen/ices Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Dramm, Inc., hereinafter referred to as "Claimant": Jeffrey Erez, Esq., Sonn & Erez, PLC, Fort Lauderdale, FL. For UBS Financial Sen/ices Inc., hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05539 Cindy Bridges-Ross Respondents Hearing Site: San Francisco, California Morgan Stanley Smith Barney a/k/a Citigroup Global Markets, Inc. Iwona Alexandra Legge f/k/a Yvonne Zabaglo Alison G. Konop David L. Tuebner Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Cindy Brid

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03972 Aviva Apel vs. Respondents Hearing Site: Miami, Florida Brian Gold Merrill Lynch, Pierce, Fenner & Smith Inc. Izhar Shefer Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Aviva Apel, hereinafter referred to as "Claimant": David J. Shea, Esq. and Frank T. Aiello, Esq., S

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Michael David Williamson Case Number: 11-01523 vs. Respondent TD Ameritrade, Inc. Hearing Site: Ft. Lauderdale, Florida Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Michael David Williamson, hereinafter referred to as "Claimant": A. Andrew OBeidy, Esq., Brody & OBeidy, P.A., Miami, FL Respondent

STIPULATED AWARD FINi^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Services, Inc. vs. Case Number: 10-05102 Hearing Site: Houston, Texas Name of Respondent Robert M. David NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS") was represented by Brian S. Hormozi, Esq., Schuyler, Roche & Crisham, PC, Chica