AWARD FINRA DISPUTE RESOLUTION CASE: 10-04844 Securities America, Inc. (Claimant) vs. Sean M. O'Brien (Respondent) REPRESENTATION OF PARTIES; For Claimant appeared Kelly R. Davis, Esq., Securities America, Inc., La Vista, NE. Respondent appeared pro se, Andover, MA. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: October 22, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissorClaim Daty a note.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05259 UBS Financial Services Inc. (Claimant) vs. Tom W. Krag (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael D. Lee, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. For Respondent appeared Kline Preston, Esq., Kline Preston Law Group, Nashville, TN. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 18, 2010 CASE SUMMARY: Claimant asserted the following cause of actio

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Pasquale W. Croce, Jr. and Diane Croce (Claimants) vs. UBS Financial Services, Inc. (Respondent) Case Number: 10-00361 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customers vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimants Pasquale W. Croce, Jr. ("P. Croce") and Diane Croce ("D. Croce"), hereinafter collectiv

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04454 Edward F. Murray, Jr. (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Julie W. Portera, Esq., Maynard, Cooper & Gale, PC, Birmingham, AL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 1, 2010 CASE SUMMARY: Claimant asserted the fo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Brook Payner (Claimant) vs. Natixis North America, Inc., Natixis Securities North America, Inc., and Natixis Capital Markets, Inc. (Respondents) Case Number: 09-04936 Hearina Site: New York, New Yorie Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Brook Payner, hereinafter referred to as "Claimant": Donald H. Chase, Esq.,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Edmund J. Chrostowski vs. Case Number: 10-02367 Hearing Site: Detroit, Michigan Names of Respondents UBS Financial Services Inc. and Philip Bocketti, Jr. NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Edmund J. Chrostowski ("Claimant") was represented by Peter C. Rageas, Esq., Law Offices of Peter C.

AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant KCD Financial, Inc. vs. Names of Respondents American Beacon Partners, Inc., James Amold Hintz, Pelion Securities Corporation, and Steven Mark Salzman Case Number: 10-02161 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Member vs. Members and Associated Persons REPRESENTATION OF PARTIES KCD Financial, Inc. ("Claimant" or "KCD")

AWARD FINf^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley & Co.. Incorporated vs. Case Number: 10-01885 Hearing Site: Dallas, Texas Name of Respondent Richard K. Lewie NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Incorporated ("Claimant") was represented by Ronald Kane. Esq. and David Smith, Esq., Kane & Fischer, Ltd.. Chicago, Illinoi

AWARD FINiRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Hugh Gershon vs. Names of Respondents Wells Fargo Advisors, LLC and Morgan Stanley Smith Barney Case Number: 10-03151 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Hugh Gershon ("Claimant") was represented by Craig W. Horn, Esq., Braun Kendrick Finkbeiner P.L.C., Saginaw, Michigan. W

AWARD FINiRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Scott L. Olson vs. Case Number: 10-01803 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant World Equity Group, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Scott L. Olson ("Claimant" or "Olson") was represented by Alan M. Wolper, Esq. and Christopher D. Seps, Esq., Locke L