Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-03911 Barbara Shimko Joseph Shimko Names of the Respondents Hearing Site: Tampa, Florida Newport Coast Securifies, Inc. J.P. Turner & Company, LLC Hugh Ordway Barndollar, III Paul William Murphy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Barbara Shimko and Joseph Shimko, he

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-06607 Bruce M. Anderson Bruce M. Anderson Irrevocable Trust Respondents Hearing Site: Tampa, Florida Askar Corp. Holly Callen Keith A. Witter Kasey W. Hafenbrack Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bruce M. Anderson ("Anderson") and Bruce M. Anderson Irrevocable Trust ("Ander

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Services, inc. vs. Case Number: 10-02753 Hearing Site: Chicago, Illinois Name of Respondent Joseph D. McMullen NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS") was represented by Ernest W. Irons, Esq., Schuyler, Roche & Chrisham, PC, Chicago, Illinois.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05821 Ruth Lally (Claimant) vs. Stifel, Nicolaus & Co., Inc., and Renee A. Raymond (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Adam S. Tracy, Esq., Adam S. Tracy, Ltd., Napen/ille, IL. For Respondents appeared Keith M. Lahay, Esq,, and James C. Browning, Jr., Esq., Stifel, Nicolaus & Co., Inc., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member and Associated Person DATE FILED: December

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wendy L. Story, IRA, Marc G. Gaudreau, IRA, and Wendy L. Story and Marc G. Gaudreau as Trustees of Beers & Story 401K (Claimants) vs. Andrew Rene Beaudry and Signator Investors, Inc. (Respondents) Case Number: 10-01483 Hearina Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Wendy L. Story, IRA ("St

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Claimante Case Number: 11-01712 Cari F. Neuss, Individually and as Trustee of the Neuss Family Tmst. Prairiestone Investment Tmst, One Westheimer Investors. Ltd. DBPP and Pacific Venture Associates, Inc. DBPP and on behalf of the Cari F. Neuss IRA, Cari F. Neuss Beneficiary IRA. Hitching Rail investors, LLC, Pacific Ventures Associates, inc. and Pacific Ventures Associates, Inc. 401

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03974 Morgan Stanley Smith Barney LLC (formerly Citigroup Global Markets, Inc. doing business as Smith Barney) Respondent Hearing Site: Atlanta, Georgia William Andrew Griffin Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley Smith Barney LLC (formerly Citigroup Global Markets, Inc. doing busines

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Jozsef Tasko (Claimant) vs. Robert R. Buonanno and Citigroup Global Markets, Inc. (Respondents) Case Number: 09-00565 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Jozsef Tasko. hereinafter referred to as "Claimant": Ira Scott Meyerowitz, Esq.. Meyerowitz Jekieiek PLLC, New York, NY. Respo

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01130 Morgan Stanley Smith Barney, LLC (Claimant) vs. Jon Reyerson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Matthew Schurter, Esq., Morgan Stanley Smith Barney, Chicago, IL. Respondent appeared pro se, Shorewood, MN. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: March 16, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note.

STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 11-00096 Securities America, Inc. (Claimant) vs. Richard Yantis (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Kelly R. Davis, Esq., Securities America, Inc., La Vista, NE. For Respondent appeared Eric W. Johnson, Esq., Beecher, Field, Walker, Morris, Hoffman & Johnson, P.C, Waterioo, lA. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 5, 2011 CASE SUMMARY: Claimant