AWARD FINRA DISPUTE RESOLUTION CASE: 11-01854 Morgan Stanley Smith Barney ("Claimant") vs. David Craig Neison ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Todd Ratner, Esq., Todd Ratner, PLC, Richmond, Virginia. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 4, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note dated April 18, 2008 ("the Note"). Re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-02351 Robert Sudduth The Robert Sudduth Family Trust Respondents Hearing Site: New Orleans, Louisiana Penson Financial Services, Inc. Sunstate Equity Trading Electronic Access Direct, Inc. Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES For Robert Sudduth and The Robert Sudduth Family Trust, hereinafter collectively

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-00950 OC Partners Inc. Respondents Hearing Site: San Francisco, California RBC Dain Rauscher, Inc. David S. Tucker, III Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, OC Partners Inc., hereinafter referred to as "Claimant": Monte S. Travis, Esq., and Robert P. Travis, Esq., Travis & Pon, San Fr

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimants Case Number: 10-03222 Anthony and Debra Hanna, individually and as Trustees of the 2001 Anthony J. and Debra F. Revocable Trust Respondents Hearing Site: Los Angeles, California CapWest Securities, inc. Ronald L. Ellis Dale K. Hall Kathleen L. Heshelow Lawrence W. Lambert Michelle R. Langer David L. Smith Robert R. Tweed Nature of the Dispute

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 11 -01220 Merrill Lynch, Pierce, Fenner & Smith incorporated Respondent Hearing Site: San Francisco, Califomia Aaron R. MacNear Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant" or "Merrill Lynch": Edward G. Winsman, Esq., Rubin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant(s) Ronald Altman Case Number: 10-05193 vs. Respondent(s) Fidelity Brokerage Services LLC David Benedict Christian Widmann Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Ronald Altman, hereinafter referred to as "Claimant": Curtis E. Pew, Esq., Hofstra University

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Beta industries, Inc. Harley Lance Kaplan vs. r\6Sp0liuerilS> Connpass Capital Corporation Compass Securities Corporation Timothy Francis Shanahan Case Number: 09-05786 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person and Non-Member vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES Claimants B

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Claimant Case Number: 07-02030 Scott I. Johnson Respondents Hearing Site: Dallas, Texas Wachovia Securifies. LLC Buddie C. Ballard, Jr. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Scott I. Johnson, hereinafter referred to as "Claimant": Joseph F. Myers, Esq., Joseph F. Myers, L.L.C., Mandevilie, Louisiana. Respo

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Claimant Stanley M. Schwarz vs. Case Number: 10-04159 Respondents Drew Donald Bariow Wells Fargo Advisors, LLC Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Stanley M, Schwarz, hereinafter referred to as "Claimant": Thomas A. Sprague, Esq., Sprague & Sprague, Philade

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Claimant Case Number: 10-04805 James A. Rathgeber vs. Respondents Si'Oukstui'ie Secuiiiies, inc. Paul Balog Phil Fatta Kyong Kim David Locy David McCoy Antony Turbeville Denise Zumbrun Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant James A. Rathg