AWARD FINRA DISPUTE RESOLUTION CASE: 11-00874 Oppenheimer & Co., Inc. (Claimant) vs. Robert J. Brooks (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diana Sur, Esq., Oppenheimer & Co., Inc., New York, NY. Respondent appeared pro se, Mendota Heights, MN. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: March 1,2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note and stabilization ag

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00222 Wells Fargo Advisors, LLC (Claimant) vs. Gary Brown (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Amy Kathryn Jensen, Esq., Hinshaw & Culbertson, LLP, Los Angeles, CA and Christopher S. Griesmeyer, Esq., Greiman, Rome & Griesmeyer, LLC, Chicago, IL. Respondent appeared pro se, Lincoln, CA. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 13, 2011 CASE SUMMARY: Cla

•ft' AWARD FINRA DISPUTE RESOLUTION CASE: 10-05581 Albert Douglas and Elizabeth Douglas (Claimants) vs. Janney Montgomery Scott LLC, Stifel, NIcolaus & Co., Inc., and Peter Anthony Picclnlnl (Respondents) REPRESENTATION OF PARTIES: ~ For Claimants appeared Walter A. Gilmore, Esq., Lynch, Osborne, Theivakumar, Gilmore & Durst LLC, Princeton, NJ. For Respondent Janney Montgomery Scott LLC, appeared Carrie L. Cheiko, Esq., Janney Montgomery Scott LLC

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02808 Stan Oswald, P.R. for the Estate of Margaret Oswald ("Claimant") vs. Edward D. Jones & Co., LP. ("Respondent") ATTORNEYS: For Claimant appeared Stan D. Cohen, Esq., The Law Office of Stan Cohen, Lincoln, NE. For Respondent appeared Kimber L. Monroe, Esq., In-house Counsel, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 11, 2008 CASE SUMMARY; Claiman

STIPULATED AWARD FINRA Dispute Resoiution in the Matter of the Arbitration Between: Names of Claimants Barisara A. Lynn and Barbara A. Lynn Trustee of the Barbara A. Lynn Trust, under agreement dated 11/10/2008 vs. Case Number: 10-02870 Hearing Site: Cleveland, Ohio Names of Respondents Stifet, Nicoiaus & Company, Incorporated, Butler Wick & Co., Inc., John F. Peters a/k/a Jack Peters and Brian J. Robb NATURE OF THE PISPUTE Custome

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00944 Ameriprise Financial Services, Inc. vs. Gary Lee Sargent REPRESENTATION OF PARTIES: For Claimant Edward Walton, Esq., Ameriprise Financial, Inc., Detroit, Michigan For Respondent: Stuart H. Doming, Esq., Law Offices of Doming PLLC, Kalamazoo, Michigan NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 3, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03144 Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent Hearing Site: Orlando, FL Peter Sagorski Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Inc. (MLPFS), hereinafter referred to as "Claimant": Lisa 8. Fildes, Esq., Kane & Fischer, Ltd., Chicago, IL. Peter Sagorski

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michel Ghanadian (Claimant) vs. Credit Suisse Securities (USA) LLC and Swiss American Securities, Inc. (Respondents) Case Number: 09-02545 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Michel Ghanadian, hereinafter refered to as "Claimant": Russell C. Weigel, III, Esq. and Eric Norstedt, Esq., Russell C. Weigel, I

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: James Kane and Agnes Kane (Claimants) vs. National Securifies Corporation, Raffaele Gambardella, GunnAllen Financial, Inc., Matthew John King, Jr., Progressive Asset Management Inc., and David Thomas Tanner (Respondents) Case Number: 10-01739 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants J

AWARD FINRA Dispute Reaolution in the Matter of the Airbitration Between: Name of Ciaimant/Gounter-^Respondent UBS Financial Sen/ices Inc. vs. Name of Respondent/Counter-Ciaimant Joseph Stanzi Case Number: 10-01310 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services inc. ("Claimant" or "UBS") was represented by Jordan D. Weinreich, Esq. and Anthony J. Bor