Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-06707 Michael Berovic, Individually and as Trustee of the Michael Berovic Revocable Living Tmstdtd 12/15/97, and on behalf of the Berovic-Goshen Village LLC Name of Respondents Hearing Site: Phoenix, Arizona KMS Financial Services, Inc. Christian Michael Sayre-Smith Nature of Dispute: Customer vs. Member and Associated Person REPRESENT

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-06787 Manuel and Jean Bernal John and Jeannette McClennan Name of Respondents Hearing Site: Phoenix, Arizona Attila Gyula Toth Latitude Financial Services, LLC CapWest Securities, Inc. Workman Securities Corporation Nature of the Dispute: Customers vs. Members, Non-Member and Associated Person REPRESENTATION OF PARTIES Claimants,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06564 Memll Lynch, Piterce, Fenner & Smith Incorporated Respondent Hearing Site: Boise. Idaho Bryan C. Oliver Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce. Fenner & Smith Incorporated, hereinafter refen^ed to as "Claimant": Beth Delaney, Esq., Rubin, Fortunato& Harbison P.C., Paoli,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant William Pete Jones, II vs. Case Number: 10-02569 Hearing Site: Charleston, West Virginia Name of Respondent Ferris Baker Watts and its successor RBC Wealth Management, a division of RBC Capital Mari^ets Corporation NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES William Pete Jones, II ("Claimant") was represented by Stephen

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Keith Newman and Shalia Newman vs. Case Number: 10-00353 Hearing Site: Houston, Texas Name of Respondent TD Ameritrade, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Keith Newman ("Mr. Newman") and Shalla Newman ("Ms. Newman"), hereinafter collectively referred to as "Claimants," were represented by John Courtade,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03340. Ocean Research and Conservation Association Respondents Hearing Site: Boca Raton, Florida Banc of America Securities, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ocean Research and Conservation Association, hereinafter referred to as "Claimant": Mathew J. B

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00488 Oppenheimer & Co., Inc. (Claimant) vs. David R. Bayer (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Deborah Dickstein, Esq., Oppenheimer & Co., Inc., New York, NY. Respondent appeared pro se, Mableton, GA. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 3, 2011 CASE SUMMARY: Claimant asserted the following cause of action: money owed pursuant to a Financial Advi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Synergy Investment Group, LLC (Claimant) vs. Baruch Coleman (Respondent) Case Number: 08-03738 Hearing Site: Newark, New Jersey consolidated with Baruch Coleman (Claimant) vs. Synergy Investment Group, LLC, Vision Trek, LLC, The Synergy Holding Group, Inc., Joseph Christopher Palladino, Eric Christopher Sides, Timothy John Bain, Mark Christopher Wesley, Burton Troy Medlin, and Jeffre

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Morgan Stanley & Co., Incorporated vs. Case Number: 09-00906 Hearing Site: Dallas, Texas Name of Respondent / Counter-Claimant Steven Scott Williams NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Incorporated ("Claimant" or "Morgan Stanley") was represented by Ronald P. Kane,

AWARD FINRA Diaputa Raaolution In the Matter of the Arbitration Between: Names of Claimants Bari^ara B. Agranoff and Abby Lavelle, as Attorney in Fact for Barbara B. Agranoff, Individually and as Trustee and on behalf of her IRA, and Joseph H. Agranoff, Individually and as Trustee on behalf of his IRA vs. Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Robert M. Rosen Case Number: 09-04362 Hearing Site: Columbu