Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04555 UBS Financial Services, Inc. Respondent Hearing Site: Charlotte, North Carolina Thomas W. Akins Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Sen/ices, Inc., hereinafter referred to as "Claimant": Michael W. Starr, Esq., Riker, Danzig, Scherer, Hyland & Pen^etti, LLP, Morristown, New Jersey.

stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04246 Merrill Lynch, Pierce, Fenner & Smith Incorporated Respondent Hearing Site: Atlanta, Georgia Richard Turnley Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith Incorporated ("MLPF&S"), hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Ronald P. Kane, Es

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03492 Avis E. Wyland Respondents Hearing Site: Richmond. Virginia Gerald Crisman DeWItt Bank of the James Financial Group, Inc. Community Bankers Securities, LLC Waterford Investor Services. Inc. Nature of the Dispute: Customer vs. Non-Member, Members and Associated Person. REPRESENTATION OF PARTIES For Avis E. Wyland, hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-07204 Mai B. Klein Respondents Hearing Site: Tampa, FL Morgan Keegan & Company, Inc. Edward M. Rosenberg Robert D. Rosenberg Jesup & Lamont Securities Corp. Sterne Agee Financial Services, Inc. Intersecurities, Inc. Empire Financial Group, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimant Case Number: 10-05023 Danrell Huston Respondents Hearing Site: Los Angeles, California Centaurus Financial, Inc. Valentino Michael Scott Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Danell Huston, hereinafter referred to as "Claimanf: William F. Davis, Esq., Law Office of William F. Davis, La Quinta, Califom

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04186 Ameriprise Financial Services, Inc. Respondent Hearing Site: San Francisco, California Glenn Edward Holbert Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Edward Walton, Esq., Ameripnse Financial Services, Inc., Detroit Michigan.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-02529 Robert P. Jones Vera Le Jeanne Jones Respondent Hearing Site: Boise, Idaho Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Robert P. Jones and Vera Le Jeanne Jones, hereinafter referred to collectively as "Claimants": David Gaba, Esq., Compass Law Group

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Esther Gerson and Harry Gefen as Trustees of the POLA Green Trust f/b/o Morris Gefen, Esther Gerson, Arnold Gerson, Harry Gefen, and Susan Gefen (Claimants) vs. Steven Douglas Klein (Respondent) Case Number: 11-00878 SITUS: New York, New York NATURE OF DISPUTE: Customers v. Associated Person REPRESENTATION OF PARTIES Esther Gerson and Harry Gefen as Trustees of the POLA Green

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00203 Isidore Kaplan (Claimant) vs. Wunderiich Securities, Inc. and Capital Securities of Annerica, Inc. (Respondents) REPRESENTATION OF PARTIES: ~" For Claimant appeared Robert L. Yeager, III, Esq., Dallas, TX. For Respondents appeared Mark D, Griffin, Esq., Baker, Donelson, Bearman, Caldwell & Berkowitz, PC. Memphis, TN. NATURE OF DISPUTE: Associated Person vs. Members DATE FILED: January 13, 2011 CASE

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Pamela Koprowski vs. Names of Respondents H. Beck, Inc. and QA3 Financial Corp. Case Number: 09-03946 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Pamela Koprowski ("Claimant") was represented by Bruce D. Oakes, Esq., Oakes & Fosher, LLC, St. Louis, Missouri. H. Beck, Inc. ("H.