Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05894 John Hart Respondents Hearing Site: Tampa, Florida UBS Financial Services Inc. Morgan Stanley & Co., Inc. Nature of the Dispute: Customer vs. Members. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For John Hart, hereinafter referred to as "Claimant": Jeffrey R. Sonn, Esq., Sonn & Erez, PLC, Fort Lauderda

Award FINRA Dispute Resolution In the IVIatter of the Arbitration Between: Claimant Case Number: 09-07226 UBS Financial Services Inc. Respondent Hearina Site: Atlanta, Georgia Kenneth Walters Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": Jordan D. Weinreich, Esq., Riker, Danzig, Scherer, Hyland & Perretti LLP, Morristown, New Jersey.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Shirley Enlow, Individually, and as Trustee of the Ron L. Enlow Tmst vs. Case Number: 08-01969 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Charles Banrett Campbell, and Wilbanks Securities, Inc. NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Shiriey Enlow, Individually, and as Trus

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Woodbury Financial Services, Inc. vs. Case Number: 10-02308 Hearing Site: Minneapolis, Minnesota Name of Respondent Brett Bauer NATURE OF THE PfSPUTg Member vs. Associated Person REPRESENTATION OF PARTIES Woodbury Financial Services, Inc. ("Claimant") was represented by Julie H. Firestone, Esq., Briggs and Morgan, Minneapolis, Minnesota. Bret

AWARD FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Names of Claimants John W. Potter and Delpha Potter, TTEES U/A DTD 12/13/95 for R.D. Potter Living Trust, John W. Potter IRA. and Delpha Potter IRA vs. Case Number: 09-04063 Hearing Site: Dallas, Texas Names of Respondents Edward Jones & Co., LP., Bruce A. Martin, and Patrick W. Gilkey NATURE QF THE DISPUTE Customers vs. Member and Associated Persons REPR

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Gary D. Kennedy vs. Case Number: 10-03312 Hearing Site: Chicago, Illinois Names of Respondents Fifth Third Securities, Inc., Joseph Russell Reedy, and Tanika Chere Edmonds NATURE QF THE PIgPUTE Customer vs. Member and Associated Persons REPRESENTATION QF PARTIES Gary D. Kennedy ("Claimant") was represented by Thomas H. Kennedy, Esq., Springfi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02766 Brent Richtsmeier Name of Respondents Hearing Site: Los Angeles, Califomia Jack Kalisz National Securities Corporation Joseph Stevens & Company, Inc. Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant, Brent Richtsmeier, hereinafter referred to as "Claimant": Joshua A. Waldman,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cleveland Currie and Maria Currie (Claimants) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-02155 Hearing Site: New York, New Yofk Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Cleveland Currie ("C. Currie") and Maria Currie ("M. Currie"), hereinafter collectively referred to as "Claimants": Theodore G. Eppenstein, Esq., Eppen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Steven Mandala (Respondent) Case Number: 09-04453 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Christopher S. Koller, Esq., and Jason K. Roberts, Es

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Raymond James Financial Services (Claimant) vs. Anthony Diaz (Respondent) Case Number: 10-00784 Hearina Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Raymond James Financial Services, hereinafter referred to as "Claimant": Susan E. Harkins, Esq., and Brady J. Hermann, Esq., Michaels, Ward & Rabinowitz, LLP, Boston