AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Emil Jean Royers and Mary C. Royers vs. Names of Respondents Edward Jones, Anthony W. Pitstick, and TradeKing Case Number: 10-04362 Hearing Site: Cincinnati, Ohio NATURE OF THE DISPUTE Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Emil Jean Royers and Mary C. Royers, hereinafter collectively referred to as

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dale J. Scholl vs. Name of Respondent Ameriprise Financial Services, Inc. Case Number: 10-03672 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Customer vs. Member Public Arbitrator Pilot Program / Majority Public Panel REPRESENTATION OF PARTIES Dale J. Scholl ("Claimant") was represented by Richard B. Fosher, Esq., Oakes

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Daniel J. Strebler vs. Case Number: 10-05299 Hearing Site: Cleveland, Ohio Names of Respondents Morgan Stanley & Co., Inc. and Morgan Stanley Financial Advisor and Investment Representative Compensation Plan NATURE OF THE DISPUTE Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES Daniel J. Strebler ("Claimant") w

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Merrill Lynch, Pierce, Fenner & Smith Incorporated vs. Case Number: 09-06181 Hearing Site: Houston, Texas Name of Resoondent/Counter-Clalmant Matt Neas NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Claimant") was represented by Amy M.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-06200 IVIichael Padilla PTC Acquisitions, LLC Respondents Hearing Site: Los Angeles, California Citibank FSB Citibank, NA Citibank. SD Citigroup Global Markets, Inc. Nat Di Carlo Robert Burke Martensen Morgan Stanley Smith Barney Smith Barney Smith Barney Consulting Group The Catalina Group Nature of the Disput

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04272 Michele Perillo vs. Respondents Hearing Site: Phoenix, Arizona Citigroup Global Markets, Inc. Morgan Stanley Smith Barney Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant Michele Perillo ("Claimant"): Lawrence J. Felder, Esq., and William Fisher, IV, Esq., Law Firm of Wilenchik & Bartness, Phoeni

AWARD FINRA Dispute Resolution In the Matter of ttie Arbitration Between: Names of Claimants Ernest Perea and Rita M. Perea vs. Names of Respondents Ameriprise Financial Services, Inc., Ryan C. Surber and Michael Franke Case Number: 10-01154 Hearing Site: Des Moines, Iowa NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Ernest Perea ("Mr. Perea") and Rita M. Perea ("Ms. Perea")

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Bruce Bellinger Susan Bellinger Michelle Caforio Charies Davis Sandra Davis Sandra Foster Susan Friede Susan Hammond Doug Hammond Robyn Hendershot Joan Lemer Sanford Lerner Steven Ruby Lola Stanley Stephen Vail Judy Vincent Michael Wei Case Number: 10-01664 Hearing Site: Denver, Colorado vs. Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01403 Alliance Semiconductor Corp. vs. Respondent Hearing Site: San Francisco, California J.P. Morgan Securities Inc. (as successor in interest to Bear, Stearns & Co.) Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Alliance Semiconductor Corp., hereinafter referred to as "Claimant": Robert S. Chapman

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Marc A. Oliver Case Number: 10-02083 Respondents Private Asset Holdings, Inc. Select Capital Corporation James Matthew Walsh Burke Ambrose Dambly James Reed Gregath Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person vs. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES Claimant, Marc A