AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Hurshel Tyler and His Wife Mildred Tyler, By and Through Her Power of Attorney Bill Tyler vs. Case Number: 10-02162 Hearing Site: Dallas, Texas Names of Respondents Raymond James Financial Services, Inc. and LPL Financial Corporation NATURE OF THE DISPUTE Customers vs. Members Public Arbitrator Pilot Program ~ All Public Panel REPRESENTATIO

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 09-04108 RBC Wealth Management, a division of RBC Capital Markets Corporation (fomnerly known as RBC Dain Rauscher Inc.) Respondent/Counter-Claimant Hearing Site: Los Angeles, California William L. Creedon Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent, RBC Wealth Manageme

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-02831 Richard E. Schreiber IRA and Richard E. Schreiber, personally and on behalf of The Richard E. Schreiber Retirement Trust Respondents Hearing Site: Los Angeles, California Charles Schwab & Co., Inc. The Charles Schwab Corporation Chartes Schwab Investment Management, Inc. Nature of the Dispute: Customers vs. Member and Non-Members R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05174 Gary Sperber Name of Respondents Hearing Site: San Francisco, California Prestige Financial Center, Inc. Lawrence Foont Lawrence Gary Kirshbaum Hanry Friedman Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Gary Sperber, hereinafter referred to as "Claimant": Barry M. Bordets

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-03122 Michael Fulda & Rivka Fulda Ten Ent Michael D. Fulda Names of the Respondents Hearing Site: Baltimore, Maryland Avi Greenlinger Avigail Benderly Rosemore Morgan Stanley & Co. Incorporated Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Michael Fulda & Rivka Fulda Ten Ent ("Fu

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Evelyn Kesler, Individually and in her capacity as Trustee of the Evelyn Kesler Revocable Living Trust vs. Case Number: 10-01093 Hearing Site: Detroit, Michigan Names of Respondents Sigma Financial Corporation and Robert Hardies NATURE OF THE DISPUTE Customer vs. Member and Associated Person RePREgENTATIQN OF PARTIES Evelyn Kesler, Indivi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03266 Estate of Orpheus Meranda Respondents Hearing Site: Memphis, TN David Gregory Schlager Edward Jones Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Estate of Orpheus Meranda, hereinafter referred to as "Claimant": Jason R. Creasy, Esq., Wilkerson Gauldin Hayes & Jenkins, Dyersburg, TN.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 10-00752 Marcy Tobin, an individual, and Goldie Anne Tobin, in her capacity as representative of the estate of Stanley Tobin Name of Respondents Hearing Site: Seattle, Washington Chase Investment Sen/ices Corp. Brandi Cohen Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants. Marcy T

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02919 Brad A. Beggarly, SEP-IRA Name of Respondent Hearing Site: Los Angeles, California Charles Schwab & Co, Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Brad A. Beggarly, SEP-IRA, hereinafter referred to as "Claimanf: Thomas D. Mauriello, Esq.. Mauriello Law Fimn, APC, San Clemente, California. Res

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05132 UBS Financial Services Inc. (Claimant) vs. Michael Maehl (Respondent) REPRESENTATION OF PARTIES: ^ For Claimant appeared Michael D. Lee, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Respondent appeared pro se, Spokane, WA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 10, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note and