AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Pihiak vs. Case Number: 10-04120 Hearing Site: Dallas, Texas Name of Respondent Edward Jones NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Mary Pihiak ("Claimant") was represented by James W. George, Esq., Law Offices of James W. George, Austin, Texas. Edward Jones ("Respondent") was represented by Dennis J. Caprigli

AWARD FINRA DISPUTE RESOLUTION CASE: Arbitration Number 10-04032 RBC Capital Markets Corporation (Claimant) vs. Vincent Ross (Respondent) REPRESENTATION OF PARTIES: For Claimant: Patrick J. Howley, Esq., RBC Wealth Management, Florham Park, New Jersey. For Respondent: Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 8, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of p

Award FINRA Dispute Resolution in the Matter of the Arbitration Bebveen: Claimant Case Number: 10-04788 Pavillion Trading LLC Respondents Hearing Site: Boise, Idaho Transcend Capital LLC James August Kupfer Penson Financial Services, Inc. Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant, Pavillion Trading LLC, hereinafter referred to as "Claimant": Inwin Stein, Investors Recovery Service,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-02877 Henry and Augusta R. Feinstein, Augusta R. Feinstein Rollover IRA and Henry Feinstein Roth IRA Account Respondent Hearing Site: Phoenix, Arizona Morgan Keegan & Company, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Henry and Augusta R. Feinstein, Augusta R. Feinstein Rollover IRA, and Henry Feins

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00382 Morgan Stanley Smith Barney (Claimant) vs. Hilary Campbell (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Timm VerDuin, Esq., San Francisco, CA and Sheetal Parikh, Esq., Morgan Stanley Smith Barney, Chicago, IL. Respondent appeared pro se, Claremont, CA. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 26, 2011 CASE SUMMARY: Claimant asserted the following cause of act

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-02604 Steven Russell & Ronni Pitiger, as Trustees of the David N. Russell 2000 Trust Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Smith Barney, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Steven Russell & Ronni Pitiger, as Trustees of the David N. Russell 2000 Trust, hereinafter referred to as "Cla

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-07159 Morgan Stanley Smith Barney, LLC Respondent Hearing Site: Tampa, FL Robert D. Thompson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley Smith Barney, LLC (MSSB), hereinafter referred to as "Claimant": Yana Kromo, Esq., Alonso, Andalkar& Kahn. P.C., New York, NY. For Robert D. Thomps

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-06162 Maya Sherrill Nida Sherrill Respondent Hearing Site: Ft. Lauderdale, FL Wells Fargo Advisors, LLC f/l< /a Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Maya Sherrill and Nida Sherrill, hereinafter collectively referred to as "Claimants": Stefan M. Apothel^er, Esq., Sonn & Erez, PLC, F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Clainnant) vs. James A. Milnes Case Number: 09-05711 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Men'ill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Amy Fritsky, Esq., Rubin Fortunate & Harbison P.C., Paoli, PA

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Claimant Case Number: 09-03867 Patricia Neel Respondent Hearing Site: San Francisco, California Oppenheimer & Co.. Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Patricia Neel, hereinafter referred to as "Claimant": George S. Trevor, Esq., Pearson, Simon, Warshaw & Penny, LLP, San Francisco, California. Respondent, Oppenheimer & Co.,