Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06999 Merrill Lynch, Pierce, Fenner & Smith Incorporated (f/k/a Banc of America Investment Services, Inc.) Respondent Hearing Site: Charlotte, NC Marc Perkins Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith Incorporated (f/k/a Banc of America Investment Services, Inc.), herei

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Fredric R. Hart vs. Case Number: 11-00570 Respondents Nancy Frances Chinchar Peter Daniel Grassel Sandgrain Securities, Inc. Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Fredric R. Hart, hereinafter referred to as "Claimant": Eric J. Sussman, Esq., Ca

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00935 Royce Moser, Jr. and Lois H. Moser (Claimants) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: " Claimants appeared pro se, Salt Lake City, UT. For Respondent appeared Meredith A. Felde, Esq., E*Trade Financial, Roseville, CA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: March 1,2011 CASE SUMMARY: Claimants alleged a monetary loss as a result of Respondent's failure to app

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00610 Jim McCormick and Fionnuala McCormick (Claimants) vs. Harry Friedman (Respondent) REPRESENTATION OF PARTIES: ~ Claimants appeared pro se, Letterkenny, Co. Donegal, Ireland. For Respondent appeared Brian H. Reis, Esq., New York, NY. NATURE OF DISPUTE: Customers vs. Associated Person DATE FILED: February 11, 2011 CASE SUMMARY: Claimants asserted the following cause of action: unauthorized trades.

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Ciaimant/Counter-Respondent Morgan Stanley & Co., Incorporated vs. Case Number: 10-05156 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant Jennifer Adorjan NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Incorporated ("Claimant") was represented by Renan I. Sugarman, Esq., Renan Sugarman,

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimants Case Number. 10-02838 Virginia Cooiey-Linder Cooley-Linder Retail Property, LLC Cooiey-Linder's French Quarter, LLC Darrell F. Linder Virginia C, Linder & Darrell F. Linder. LLC Respondents Hearing Site: Denver, Colorado Capwest Securities, LLC Worieman Securities Corporation Larry Ivan Behrends Nature of the Dispute: Customers vs. Members and Associate

AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert C. Bryan vs. Name of Respondent/ Third-Party Claimant UBS Financial Services, Inc. vs. Name of Third-Party Respondent Steven John Trinkala Case Number: 10-00408 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customer vs. Member vs. Associated Person Public Arbitrator Pilot Program / All Public Panel REPRESENTAT

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01367 Divine Swine Catering, Inc. (Claimant) vs. Donald Rosen and Waddell & Reed, Inc. (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Dale Vaillancourt, Lakeville, MN. For Respondents appeared Carrie J. Bechtold, Esq., Bryan Cave LLP, St Louis, MO. NATURE OF DISPUTE: Customer vs. Associated Person and Member DATE FILED: March 30, 2011 CASE SUMMARY: Claimant alleged a monetary loss resulting f

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-02592 June F. Shore, in her personal capacity and as Trustee of The June F. Shore Living Trust, and as Trustee of the June F. Shore IRA, FBO June F. Shore Respondents Hearing Site: San Francisco, California Chauner Securities, Inc. Gary P. Gardner Life Wealth Advisors, Inc. Nature of the Dispute: Customers vs. Member, Associate

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Greg Lapine on behalf of Patty L. Lapine irrevocable Life insurance Trust vs. Case Number: 10-02365 Hearing Site: Detroit, Michigan Names of Respondents Select Portfolio Management, Inc., Paul Edward Bozymowski, Mark Edward Goldsmith, Securities Equity Group, and Carin Ruth Amaradio NATURE OF THE DISPUTE Customer vs. Member, Non-Member and