Award FINRA Dispute Resolution In the Matter of the Arbitration Between: CITGO Petroleum Corporation and PDV Holding, Inc. (Claimants) vs. FTC Capital Markets, Inc., FTC Emerging Markets Inc., FTC Holdings, LLC, Guillenno David Clemens, and Line Lopez (Respondents) Case Number: 09-02964 Hearinc Site: New York, New York Nature of the Dispute: Customers vs. Member, Non Members, and Associated Persons. REPRESENTATION OF PARTIES Claimants CITGO Petroleum

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-03932 Vernon E. Zurick Name of Respondents Hearing Site: Denver, Colorado Shelley Bergman Bear Stearns & Co., Inc. J.P. Morgan Securities, inc. Bear Stearns Asset Management, Inc. Bear Stearns Securities Corp., a.k.a. J.P. Morgan Clearing Corp. Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PART

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Bellantuono and Anthony Gusmano (Claimants) vs. ICAP Securities USA LLC (Respondent) Case Number: 09-00567 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Joseph Bellantuono ("Bellantuono") and Anthony Gusmano ("Gusmano"), hereinafter collectively refemed to as "Claimants": Douglas H. Wigdor, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02976 Bernard Moskowitz Names of the Respondents Hearing Site: Miami, Florida Jack Patterson Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bernard Moskowitz, hereinafter refenred to as "Claimant": Walter J. Mathews, Esq., Walter J. Mathews, P.A.. F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 10-01652 RBC Capital Markets Corporation Name of the Respondent Hearing Site: Norfolk, Virginia James Godsey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For RBC Capital Markets Corporation, hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., Mc Canliss & Early, LLP, New Yoric, New Yori< . For

STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 10-05147 UBS Financial Services, Inc. vs. Keith G. Anderson REPRESENTATION OF PARTIES: For Claimant UBS Financial Services, Inc. ("UBS"): Brian S. Hormozi, Esq., Schuyler, Roche & Crisham, P.C, Chicago, Illinois. Respondent Keith G. Anderson ("Anderson") did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 11, 2010. CASE SUMMARY: Claimant asserted the cause of action of

AWARD FINRA Dispute Resolution In the Matter of the Ari3itration Between: Name of Claimant Thomas Laird vs. Case Number: 10-01502 Hearing Site: Minneapolis, Minnesota Names of Respondents RBC Capital Markets Corporafion, Gerry Means Hairgrove, James John Tricolli, and Stephen Jerome Yanisch NATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Thomas Laird ("Claimant") was represent

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert Bagby vs. Case Number: 09-04663 Hearing Site: Houston, Texas Name of Respondent Citigroup Global Martlets, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Robert Bagby ("Claimant") appeared pro se. Citigroup Global Markets, Inc. ("Respondent") was represented by Thomas D. Cordell, Esq., Hayne

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00587 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Kenneth Williamson, Jr. (Respondent) REPRESENTATION OF PARTIES: For Claimant Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC: Gregory S. Tendrich, Esq., Gregory Tendrich, P.A., Boca Raton, Florida. Respondent Kenneth Williamson, Jr. did not appear. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: February 8, 201

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03913 Mario Martinez, Trustee of the George H. and Marion P. Jones Trust Dated December 5,1985 Respondents Hearing Site: Phoenix, Arizona First Financial Equity Corporation Donald Richard Marshall Roselyn Marshall George Edward Fischer Sharon E. Fischer Nature of the Dispute: Customer v. Member, Associated Persons and Non-Members REPRESENT