AWARD FINRA Dispute Resolution in the Matter of the AriDitration Between: Name of Claimant Cari Meisner, MD vs. Names of Respondents Citigroup Global Maricets, Inc. and David Boyd Endres Case Number: 09-01331 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Cart Meisner, MD ("Claimant") was represented by Eric L. Rhodes, Esq., Lafimer & Rhodes, PC, Houston, T

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Baker Hughes Incorporated and Baker Hughes Treasury Services GMBH vs. Case Number: 08-04893 Hearing Site: Houston, Texas Names of Respondents BNY Mellon Capital Markets, LLC and Pershing, LLC NATURE OF THE DISPUTE Customers vs. Members REPRESENTATION OF PARTIES Baker Hughes Incorporated and Baker Hughes Treasury Sen/ices GMBH ("Claimants")

AWARD FINF^ Dispute Resoiution In the Matter of the Arbitration Between: Names of Claimants Robert E. Lee, individually and as Trustee of the Robert Eari Lee Revocable Tmst dated April 1, 2008, Buford E. McCrae ("B.E. McCrae"), Individually and on behalf of the B.E. McCrae Family Limited Partnership, Beatrice M. McCrae, Individually and on behalf of the B.E. McCrae Family Limited Partnership and Victor Stefanovic vs. Case Number: 10-01343

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard L. Bierbaum (Claimant) vs. Credit Agricole Securities (USA), Inc. (Respondent) Case Number: 10-02415 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Richard L. Bierbaum, hereinafter referred to as "Claimant": Julian W. Friedman, Stillman, Friedman & Shechtman, P.C., New York, NY. Responden

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Michael Greenfield (Claimant) vs. Ronald Edward Hardy and Westpark Capital, Inc. (Respondents) Case Number: 09-06732 SITUS: New York, New York NATURE OF DISPUTE: Customer v. Associated Person and Member. REPRESENTATION OF PARTIES Michael Greenfield, hereinafter referred to as "Claimant": Paul Radvany, Esq., Lincoln Square Legal Services, Inc., New York, NY. Westpark Capit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Smith Barney, LLC (Claimant) vs. Mark D. Mensack (Respondent) vs. Morgan Stanley & Co., Inc., Peter Prunty, and Rich Maratea (Third-Party Respondents) Case Number: 10-01687 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Initial Claim: Member vs. Associated Person. Third-Party Claim: Associated Person vs. Member and Associated Persons. REPRESENTATIO

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00886 Thomas N. Anderson Name of the Respondent Hearing Site: Fort Lauderdale, Florida Fred Alger & Company, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Thomas N. Anderson, hereinafter referred to as "Claimant": Neil L. Henrichsen, Esq. and Natalie M. Koss, Esq., Henrichsen Siegel, P.L.L.C., Wash

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05640 Rudolph Texas Investments, Inc., as General Partner of Douglas M. Rudolph Partners, Ltd. Respondent Hearing Site: Miami, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Rudolph Texas Investments, Inc., as General Partner of Douglas M. Rudolph Partners, Ltd., herein

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Ameriprise Financial Services, Inc. Case Number: 09-05498 Name of the Respondent Todd Feldman Hearing Site: Washington, D.C. Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Edward B. Magarian Esq. and Jana E. Bruder Esq., Dorsey & Whitn

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-02095 Braden Partners, L.P. by and through JBB, Inc., its General Partner James Braden as Trustee U/A DTD 04/27/2000 Grant Braden Education Trust James Braden as Trustee U/A DTD 02/01/2007 Elsa Gaze Braden Trust Respondents Hearing Site: Atlanta. Georgia Merrill Lynch, Pierce, Fenner & Smith, Inc. Joshua E. Krentzman Nature of the Dispute