Award FiNRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 10-03719 Jack R. Beattie, individually and on behalf of any IRA, Trust or other Custodial Accounte vs. Respondent Hearing Site: Orlando, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jack R. Beattie, individually and on behalf of any IRA, Trust or other Custod

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant REG Wealth Management Case Number: 10-00052 vs. Respondent Ariel Hernandez Hearing Site: Ft. Lauderdale, Florida Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant RBC Wealth Management, hereinafter referred to as "Claimant": Joseph F. Keenan, Esq. and Patrick Howley, Esq., McCanliss & Eariy, New York, NY.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lois W. Reed, Individually and as Trustee of the Lois W. Reed Trust, dated 3/2/97 vs. Name of Respondent Robert W. Baird & Co., Incorporated Case Number: 10-02770 Hearing Site: Columbus, Ohio NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Lois W. Reed, Individually and as Trustee of the Lois W. Reed Trust, date

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mark Thomas Lamkin vs. Names of Respondents PNC Brokerage Corporation, PNC Investments LLC, and J.J.B. Hilliard, W.L. Lyons. LLC and Name of Cross-Claimant J.J.B. Hilliard, W.L. Lyons, Inc. vs. Name of Cross-Claim Respondent PNC Investments LLC Case Number: 09-03847 Hearing Site: Louisville, Kentucky NATURE OF THE D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Martin Kupferberg and Dora Kupferi^erg Case Number: 10-03879 VS. Respondents Alternative Wealth Strategies, Inc. Edward Scro Seniors Resource Woricman Securities Corporation Hearing Site: New Yori< , New York Nature of the Dispute: Customers vs. Members, Associated Person, and Non-Member REPRESENTATION OF PARTIES Claimants Martin Kupf

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-02263 SagePoint Financial, Inc. Respondents Hearing Site: Phoenix, Arizona Scott Allen Householder Debra Davis Householder The Householder Group, LLP Counter-Claimant The Householder Group, LLP Counter-Respondent SagePoint Financial, Inc. Nature of Disputes: Member vs. Associated Persons and Non-Member Non-Member

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Advisors, LLC VS. Case Number: 10-00274 Hearing Site: Dallas, Texas Name of Respondent Allen Isenberg NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC ("Claimant") was represented by Donald Littlefield, Esq. and Mary Jo Cantu, Esq., Ballard & Littlefield, LLP, Houston, T

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-05612 UBS Financial Services Inc. vs. Respondent Hearing Site: Los Angeles, California Lance Paul Eaton Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant UBS Financial Services Inc. ("Claimant"): Devin A. Donohue, Esq., Palmer, Lombardi & Donohue LLP, Los Angeles, OA. Respondent Lance Paul Eaton

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Connie L. Janousek vs. Names of Respondents Citigroup Global IVIari^ets, Inc. Chris Ayer Case Number: 10-01534 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Connie L. Janousek ("Claimant") was represented by Richard L. Bolton, Esq., Boardman, Suhr, C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Jack McClure Jr., Individually and on behalf of the Jack McClure, Jr. IRA, Phyllis D. McClure, Individually and on behalf of the Phyllis D. McClure \RA, Ron Miller and Lee Miller, both Individually and on behalf of the Ron Miller IRA vs. Name of Respondent Morgan Stanley Smith Barney, LLC Case Number: 10-03414 Hearing Site: Oklah