Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of Claimant Case Number: 10-00847 Linda Mellicker-Bhan Name of Respondents Hearing Site: Denver, Colorado Centaurus Financial, Inc. David Louis Klein Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Linda Mellicker-Bhan. hereinafter referred to as "Claimanf: Nisha S. Wright. Esq.. Stein & Stein. P.A.. Palm Beach, F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ed Hannon, Noel Hannon, Drew Hannon, and Brooke Hannon (Claimants) vs. Direct Trading Institutional, LP, WallStreet*E Financial Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Inc., Ridge Clearing & Outsourcing Solutions, Inc., Sean K. Hannon, and Epic Advisors, LLC (Respondents) Case Number: 09-06798 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Members

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00100 NEXT Financial Group, Inc. (Claimant) vs. Jonda Lowe (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Owen P. McGill, Esq., Shumaker, Loop & Kendrick, LLP, Tampa, FL. For Respondent appeared Clifford J. Hunt, Esq., Law Office of Clifford J. Hunt, P.A., Seminole, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 7, 2011 CASE SUMMARY: Claimant asserted the following

Av\^ard FINRA Dispute Resolution In the Matter of the Arbitration Between: Jeanette L. Kridel, and Jeanette Lores Kridel Trust (Claimants) v. Smith Barney a/k/a Citigroup Global Markets, Inc., Stephen P. Endlar, and William F. Dodge (Respondents) Case Number: 10-03684 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Jeanette L. Kridel ("J. Kridel") and Jeanette Loree K

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Daniel Kramer (Claimant) vs. Wachovia Securities, LLC, now known as Wells Fargo Advisors, LLC and Michael Cobb (Respondents) Case Number: 10-01209 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Daniel Kramer, hereinafter refen'ed to as "Claimant": Peter S. Pearlman, Esq., Cohn L'ifland Pearlman

STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 10-04843 Securities America, Inc. (Claimant) vs. Tracey Douglas Frank (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Kelly R. Davis, Esq., Securities America, La Vista, NE. For Respondent appeared Richard F. BednarskI, Esq., Tegtmeler Bednarski Law Finn LLC, Colorado Springs, CO. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: October 22, 2010 CASE SUMMARY: Claimant, Securi

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06590 Ameriprise Advisor Services, Inc. Name of the Respondent Hearing Site: Washington, D.C. Franklin Hill Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Advisor Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Ronald P. Kane, Esq., Larry J. Lipka, Esq

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-04044 Michael Jay Opp Name of Respondents Hearing Site: Denver, Colorado KCD Financial, Inc. Nature of Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Michael Jay Opp, tiereinafter referred to as "Claimant": Otto K. Hilbert, II, Esq., Robinson Waters & O'Dorisio, P.C., Denver, Colorado. Respondent, KCD Financial,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jackie Andalman and the Jackie Andalman IRA vs. Names of Respondents Charles Schwab & Co., Inc. and Kimon P. Daifotis Case Number: 08-04697 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Jackie Andalman and the Jackie Andalman IRA, hereinafter collectively referred

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00169 Donald B. Scott, Jr., individually and on behalf of KAL Trading, LLC Names of the Respondents Hearing Site: Boca Raton, Florida Jeffrey Scott Ramson KAL Trading. LLC Great Eastern Securities, Inc. Nature of the Dispute: Non-Member vs. Associated Person, Terminated Member, and Non-Member. REPRESENTATION OF PARTIES