Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent UBS Financial Services, Inc. vs. Respondent/Counter-Claimant Ralph M. Jones, Jr. Case Number: 10-03939 Hearing Site: Denver, Colorado Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Services, Inc., hereinafter referred to as "Claimant": Michael Braun, Esq., Schuyler, Roche & Crisham,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-01651 Tule River Tribal Council Tule River Tribe of the Tule River Reservation Respondents Hearing Site: Los Angeles, California Erin M. Callan Howard L. Clark Peter E. Coleman Mark M. Connelly Thomas H. Cruikshank Michael C. Drago Frederick Frank Scott J. Freidheim Richard S. Fuld, Jr. Lehman Brothers Inc. Bernard A. Mach

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Drew Scott Freides Case Number: 09-06674 vs. Respondent Goldman, Sachs and Company Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Drew Scott Freides, hereinafter refen-ed to as "Claimant": R. Rogge Dunn, Esq., Clouse Dunn Khoshbin LLP, Dallas, TX. Respondent Goldman, Sachs a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Glenna L. Maguire, Individually and as trustee of the UTD 7/26/07 FBO Glenna L. Maguire Trust Respondents George Jeffrey Dahl Wedbush Securities Inc. Case Number: 10-01545 Hearing Site: Los Angeles, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Glenna L. Maguire, Individually and as trus

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Jayne and Marissa Dressor Respondents Worid Group Securities, Inc. World Financial Group, Inc. Case Number 10-04932 Hearing Site: Los Angeles, Califomia Nature of the Dispute: Customers vs. Member and Non-Member REPRESENTATION OF PARTIES Claimants Jayne and Marissa Dressor, hereinafter collectively refered to as "Claimants": Jayne Dressor, La Crescenta,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-03839 Donald Needham Respondents Hearing Site: San Diego, Califomia Independent Financial Group, LLC Joshua Cory Koehnen Peter Ivan Michael Shusterman Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Donald Needham ("Claimant"): John H. L'Estrange, Jr., Esq., Wright & L'Estrange, San Diego, C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Algrie M. Bridges Respondent Citigroup Global Markets, inc. Case Number: 09-05697 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Algrie M. Bridges, hereinafter referred to as "Claimant": Pro Se, Sacramento, California. Respondent Citigroup Global Markets, Inc., hereinafter ref

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimant Case Number: 11-00110 Jane Galvan an individual and as Tmstee of the Jane Galvan Tmst Respondents Hearing Site: Los Angeles, California Banc of America Investment Services, Inc. n/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated Roger W. Rodas Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Jane

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ronald N. Kiet as Trustee for The Ronald Kief Trust Account, Ronald Kief IRA, and The Rosa Lynn Kief Family Trust vs. Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and David N. Pappas Case Number: 09-03969 Hearing Site: Detroit Michigan NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley Smith Barney, LLC vs. Case Number: 10-04822 Hearing Site: Chicago, Illinois Name of Respondent Amarjeet Singh NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Bamey, LLC ("Claimant") was represented by Matthew Schurter, Esq., Morgan Stanley Smith Barney, LLC, Chicago, Illinois. Am