AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Othello Capital Partners LP and Othello Capital GP, LP vs. Case Number: 08-03816 Hearing Site: Dallas, Texas Name of Respondent Penson Financial Services, Inc. Name of Counter-Claimant Penson Financial Services, Inc. vs. Names of Counter-Respondents Othello Capital Partners LP Othello Capital GP. LP. Jackson Su and Othello Capita

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard W. Fahs, II (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 09-06623 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member Public Arbitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES Claimant Richard W. Fahs, II, hereinafter referred to as "Claimant": Nicholas J. Guiliano, Esq., Guiliano Law

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Giovanni Savinovich (Claimant) vs. Banc of America Investment Services Inc., John M. Lee, and Gordie Jamieson (Respondents) Case Number: 09-06329 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Giovanni Savinovich, hereinafter referred to as "Claimant": John A. Daniels, Esq., Daniels & Daniels,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04748 Joseph H. Roe (Claimant) vs. Chase Investment Services Corp. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared D. Daxton White, Esq., The White Law Group, LLC, Chicago, IL. For Respondent appeared Elizabeth M. Hill, Esq., Ulmer Berne LLP, Cleveland, OH. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 18, 2010 CASE SUMMARY: Claimant asserted the following causes of action: unsuitable

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 "Claimanf: Paul Radvany, Esq., Lincoln Square Legal Services, Inc., New York, NY. Westpark Capita

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-04236 Donald L. Ames TTEE, Donald L. Ames Trust U/A DTD 04/09/82 Donald L. Ames TTEE, Mary R. Ames Trust U/A DTD 04/09/82 Respondents Hearing Site: Orlando, FL Charles Schwab & Co., Inc. Kimon P. Daifotis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donald L. Ames TTEE, Donald L. Ames Tru

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant JCE/CBI. Ltd. vs. Case Number: 09-06230 Hearing Site: Houston, Texas Names of Respondents l\4organ Stanley Smith Barney f/k/a Morgan Stanley & Co., Inc. and Toni E. Melinder NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES JCE/CBI, Ltd. ("Claimant") was represented by Kay J. Hazelwood, Esq. a

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Roger Fross vs. Name of Respondent Charles Schwab & Co., Inc. Case Number: 09-07271 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Roger Fross ("Claimant" or "Fross") was represented by Adam J. Gana, Esq., Napoll Bern Ripka, LLP, New York, New York. Charles Schwab & Co., Inc. ("Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jennifer Weintraub (Claimant) vs. Banc of America Investment Services, Inc. (Respondent) Case Number: 10-02820 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Jennifer Weintraub, hereinafter refenred te as "Claimant": Seth Huberman, Esq., Hubentian & Associates, Boca Raton, FL. Respondent Banc of America Investme

Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: John S. Wilson (Claimant) vs. Barclays Capital Inc. (Respondent) Case Number: 10-03444 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant John S. Wilson, hereinafter referred to as "Claimant": Paul T. Shoemaker, Esq., Greenfield Stein & Senior, LLP, New York, NY. Respondent Barclays Capital Inc., hereinafter re