AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: UBS Financial Services, Inc. vs. Carl M. Drury Case Number: 11-00284 SITUS: Atlanta, Georgia NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES UBS Financial Services, Inc., hereinafter referred to as "Claimant": Edward C. Nowak, Esq., Schuyler, Roche & Crisham, P.C., Chicago, Illinois. Respondent did not enter an appearance in this matter. DATE FI

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Mary Wynns and Richard Wynns vs. Names of Respondents Citigroup Global Markets, Inc., Morgan Stanley Smith Barney, and John Gellasch Case Number: 10-00278 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Mary Wynns and Richard Wynns ("Claimants") were represent

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Advisors, LLC vs. Name of Respondent Susan Steckler Case Number: 10-02109 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC ("Claimant") was represented by Renan I. Sugarman, Esq., Renan Sugarman, P.O., Chicago, Illinois. Susan Steckler ("Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04646 Ruth H. Kosco Respondents Hearing Site: Phoenix, Arizona Morgan Stanley Smith Barney John Marc Hebert Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Ruth H. Kosco, hereinafter referred to as "Claimant": John A. Titus, Esq., Titus Brueckner & Levine PLC, Scottsdale, Arizona. Respondent

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Alice M. Youngblood vs. Case Number: 10-00781 Hearing Site: Houston, Texas Names of Respondents Fidelity Brokerage Services, LLC and Patrick Hynes NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Alice M. Youngblood ("Claimant") was represented by Scott D. Ellis, Esq., Gardere Wynne Sewell, LLP, Houston

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01093 Sheryl Mead (Claimant) vs. Raymond James & Associates, Inc. (Respondent) REPRESENTATION OF PARTIES: ~ For Claimant appeared Herbert E. Pounds, Jr., Esq., Herbert E. Pounds, Jr., P.C., San Antonio, TX. For Respondent appeared Kelli Bullington, Esq., Raymond James & Associates. Inc.. St. Petersburg, FL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 16, 2011 CASE SUMMARY: Claimant asserted

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Richard Steinberg Living Trust (Claimant) vs. UBS Financial Services Inc. (Respondent) Case Number: 10-03837 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant The Richard Steinberg Living Trust, hereinafter referred to as "Claimant": David E. Bamberger, Esq., Brickman & Bamberger, New York, NY. Previously repre

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01196 UBS Financial Services Inc. and UBS Financial Services Inc. of Puerto Rico (Claimants) vs. Carmen Sanchez (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Megan A. Smith Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Respondent appeared pro se, San Juan, PR. NATURE OF DISPUTE: Members vs. Associated Person DATE FILED: March 24, 2011 CASE SUMMARY: Claimants asserted the following

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eugene Russo and Mary Cammarano (Claimants) v. Ameriprise Financial Services, Inc. (Respondent) Case Number: 10-02949 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Eugene Russo ("Russo") and Mary Cammarano ("Cammarano"), hereinafter collectively referred to as "Claimants": Benjamin Lapin, Stock Market Recovery

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Muriel Egan (Claimant) vs. Newbridge Securities Corporation (Respondent) vs. David Evansen (Third-Party Respondent) Case Number: 10-00470 Hearing Site: Boca Raton, Florida Nature of the Dispute: initial Claim: Customer vs. Member. Third-Party Claim: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Muriel Egan, hereinafter referred to as "Claimant"