AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eugene Charles Travis vs. Case Number: 10-05551 Hearing Site: Chicago, Illinois Name of Respondent Brewer Financial Services, LLC NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Eugene Charles Travis ("Claimant" or "Travis") was represented by Joshua B. Kons, Esq., Eccleston Law Offices, PC, Chicago, Illinois. Brew

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01533 Maria Kort, Individually and as Trustee and Beneficiary of the Joe Rosenblum Revocable Living Trust U/A 11/30/99; and Ellen Rosenblum Trust U/A 11/30/99 Respondents Hearing Site: Los Angeles, California Terry John Metzger Moors & Cabot, Inc. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Cl

AWARD FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Names of Claimants Lenard Briscoe, Ronald Clough, Richard Reynolds, Richard Reynolds as Trustee of the Richard Reynolds Living Trust, Steve Sanders, Crandall & Sanders, Inc., John Vance, Tim Blair, Cheri Blair, Blair Minerals Ltd. LLC, Craig Blair, Rae Blair, and Kent Blair vs. Case Number: 05-00698 Hearing Site: Oklahoma City, Oklahoma Names of Respondents AX

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stephen F. Rowland, Jr. vs. Case Number: 10-02338 Hearing Site: Minneapolis, Minnesota Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Stephen F. Rowland, Jr. ("Claimant") was represented by Christopher W. Madel, Esq. and Amy E. Slusser, Esq., Robbins, Kaplan, Mille

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Thomas Untiedt vs. Names of Respondents GunnAllen Financial, Inc., GAH Holdings, LLC, GunnAllen Holdings, Inc., Wright Asset Management Group, Inc., JHS Capital Holdings, Inc., d/b/a JHS Capital Advisors, Inc., Pointe Capital, Inc. f/k/a Pointe Capital, LLC, John H. Sykes, Mary Kennemur, Paul Richardson, Paul H. Chuzi, Kiri< E.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Bernard F. Master and the Bernard F. Master Revocable Trust vs. Case Number: 09-05327 Hearing Site: Columbus, Ohio Names of Respondents Bear Steams Companies, Inc. and Bradley Roger Kastan NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Bemard F. Master and the Bernard F. Master Revocable Trust ("Claima

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 10-01604 Connie Mage Respondents Hearing Site: Raleigh, North Carolina Merrill Lynch, Pierce, Fenner & Smith Inc. Larry Thorne James Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Connie Hage, hereinafter referred to as "Claimant": Steven M. Virgil, Esq. and Scott J. McCormIck, Esq., Wake Forest Commun

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Steven J. MacDonald vs. Case Number: 09-07206 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Janney Montgomery Scott, LLC NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Steven J. MacDonald ("Claimant") was represented by Joseph E. Altomare, Esq., Attorney and Counselor at Law, Titusville, Pennsylvania.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas Campagna (Claimant) v. Gary Goldberg and Co., Inc., and Gary Goldberg (Respondents) Case Number: 09-06683 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Thomas Campagna, hereinafter referred to as "Claimant": Mitchell Markowitz, Stock Market Recovery Consultants Inc., Brooklyn, NY. R

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01711 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Kevin Blackburn (Respondent) REPRESENTATION OF PARTIES: For Claimant: Jason E. Murtagh, Esq., Rubin, Fortunato & Harbison, P.C., Paoli, PA Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 28, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach o