AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Southem Oklahoma Water Corporation vs. Case Number: 10-00270 Hearing Site: Dallas, Texas Name of Respondent RBC Capital Maricets, LLC IE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Southern Oklahoma Water Corporation ("Claimant") was represented by Joseph H. Bocock, Esq. and Dara K. Wanzer, Esq., McAfee & Taft, Oklahoma City, Oklahoma.

AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Beverly Edwards vs. Case Number: 10-00381 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley Smith Barney and Harvey R. Newton NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Beverly Edwards ("Claimant") was represented by Dawn R. Meade, Esq., The Spencer Law Firm, Houston, Texas. M

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Patricia Deramus Bunch, The Patricia Deramus Bunch Trust, Dawn Deramus Fogel, and The Dawn Deramus Fogel Trust vs. Case Number: 09-06505 Hearing Site: Kansas City, Missouri Names of Respondents Berthel, Fisher & Co. Financial Services and J. Richard Matheis NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Chicago Investment Group, LLC vs. Case Number: 09-04261 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant Cinthia Faye Collins NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Chicago Investment Group, LLC ("Claimant") was represented by Howard J. Rosenburg, Esq., Kopecky, Schumache

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Edgar W. ("Bill") Hagerty and Joann D. Hagerty, Individually and as Trustees of the Edgar W. Hagerty Trust and the Joann Didik Hagerty Trust, EWH Investments, LLC, and JDH Investments, LLC vs. Case Number: 09-03429 Hearing Site: Omaha, Nebraska Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Kathryn Schubert, and Ronald J. Las

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01149 Ellen L. Brown Name of Respondents Hearing Site: Los Angeles, California Neuberger Bemnan. LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of tiie Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant, Ellen L. Brown, hereinafter referred to as "Claimanf: Marc i. Zussman, Esq., Law Office of Marc I.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-04679 Thomas D. Gant Gant-Springville Comers, LLC Name of Respondents Hearing Site: Seattle, Washington Pacific West Securities, Inc. Private Consulting Group, Inc. James R. Feek Thomas G. Justice Nature of the Dispute: Customers vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimants, Thomas D. Gant ("Gant") a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04000 Irvin Robbins Rev Trust U/A/D 9/16/91 by Elaine S. Robbins, Trustee Respondent Hearing Site: Jacksonville, Florida Investors Capital Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Irvin Robbins Rev Trust U/A/D 9/16/91 by Elaine S. Robbins, Trustee, hereinafter referred to as "Claimant": Robert H. R

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05519 Randolph Haaran (Claimant) vs. UBS Financial Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Woodstock, NY. For Respondent appeared Joseph K. Donovan, Esq., Bressier, Amery & Ross, P.C., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: Decembers. 2010 CASE SUMMARY: Claimant asserted the following cause of action: negligence. The cause of action relates

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05181 Morgan Stanley Smith Barney Name of Respondents Hearing Site: San Francisco, California Sean Anthony Lehmann Kurt J. Halverstadt Capital Investment Management Group, Inc. Nature of Dispute: Member vs. Associated Persons and Non-Member REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Barney, hereinafter referred to as "Cl