STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Douglas J. Pippert, Kira Ann Pippert, and Kira Ann Pippert Revocable Trust vs. Names of Respondents Ameritas Investment Corp., Michael Blake, and Olympus Financial Advisors, Inc. and Name of Cross-Claimant Ameritas Investment Corp. vs. Names of Cross-Respondents Michael Blake and Olympus Financial Advisors, Inc.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael J. Mohan vs. Names of Respondents Robert Timothy Marwill, Steven Neal Mechlowicz, Citigroup Global Markets, Inc., and Morgan Stanley Smith Barney, LLC d/b/a Morgan Stanley Smith Barney Case Number: 11-00045 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customer vs. Members and Associated Persons The case proceeded under th

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Rosalin Rogers vs. Case Number: 10-05297 Hearing Site: Dallas, Texas Name of Respondent Randall Lane Pope NATURE OF THE DISPUTE Customer vs. Associated Person The case proceeded under the Optional All Public Panel rule / All Public Panel REPRESENTATION OF PARTIES Rosalin Rogers ("Claimant") appeared pro se. Randall Lane Pope ("Respondent") app

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Steve L. Kuerth and Debbie Kuerth vs. Case Number: 09-04970 Hearing Site: Chicago, Illinois Names of Respondents QA3 Financial Corp., Jeffrey Lynn Augspurger, Stephen Kent Wild, Thomas Gerard Zielinski, Shawna Rae Meyer, Jeffrey James Cannella, and Jon Richard Pearn NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Robert Hall and Helen Hall Case Number: 09-05813 vs. Respondents Thomas Borbone Timothy Llewellyn Kelly Thomas Group Capital Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Robert Hall ("R. Hall") and Helen Hall ("H. Hall"), hereinafter collectively referre

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Services, Inc. vs. Name of Respondent Si Ball Lee Case Number: 10-05099 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant") was represented by Brian S. Hormozi, Esq., Schuyler, Roche 8t Crisham, PC, Chicago, Illinois. Si

Award FINRA Dispute Resolution in the Matter of the AriDitration Between: Claimants Estate of Margaret Cwirico Case Number: 09-06320 vs. Respondents Morgan Stanley & Co., incorporated Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Estate of Margaret Cwiri< o, hereinafter referred to as "Claimant": David R. Strickier, Esq., and Robert Mahoney. Esq., Norn's McLaughlin & Marc

Award FINFtA Dispute Resolufo'on In the Matter of the Arbitration Between: Claimant James Phillip Schwantner Case Number: 11-00861 vs. Respondent Merrill Lynch Pierce Fenner & Smith Inc. Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant James Phillip Schwantner, hereinafter referred to as "Claimant* appeared pro se. Respondent Merrill Lynch Pierce Fenner & Smith

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03262 Thomas Corcoran vs. Respondents Steven Pickard Pinnacle Investments, LLC Dario Vacco Hearing Site: Syracuse, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Thomas Corcoran, hereinafter referred to as "Claimant": Stewart L. Weisman, Esq., Manlius, NY. Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03651 David L. Middlemiss vs. Respondents Hearing Site: Syracuse, New York Lincoln Financial Advisors Corporation LFA, Limited Liability Company Lincoln Life & Annuity Company of New York Garry R.M. Payne Nature of the Dispute: Associated Person vs. Member, Non-Members, and Associated Person REPRESENTATION OF PARTIES Claimant David L.