AWARD FINRA DISPUTE RESOLUTION CASE: 10-04548 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. John R. Arquette (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jay J. Price, Esq., San Francisco, CA and David H. Smith, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 11, 2010 CASE SUMMARY: Claimant assert

Amended Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Name of Claimant Case Number: 10-04911 Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondent Hearing Site: San Diego, California Daniel W. Crotta Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Edward G. Winsman, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01111 Charles Raney Respondent Hearing Site: Orlando, Florida SunTrust Robinson Humphrey, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Charies Raney, hereinafter referred to as "Claimant": Curtis Carison, Esq. and Charies A. Carlson, Esq., Carison & Lewittes. P.A., Miami, Florida and Joseph Alonso, E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-07122 Gray Ingram Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith incorporated Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Gray Ingram, hereinafter referred to as "Claimant": Scott J. Link, Esq., Ackemnan Link & Sartory, P.A.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Ciainnant Case Number: 10-03177 UBS Financial Services Inc. Name of the Respondent Hearing Site: Atlanta, Georgia David Marcus Baum Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": James L. Komie, Esq. and James J. McNamara, Esq., Schuyler Roche & Crisham, PC

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Ameriprise Advisor Services, Inc. Ameriprise Financial Services, Inc. Respondent Alfred Keyser Case Number: 10-00550 Hearing Site: Washington. D.C. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Advisor Services, Inc. ("/\ASI") and Ameriprise Financial Services, Inc. ("AFSI"), hereinafter collectively referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-01289 PMW Partners d/b/a Capital Trust Wealth Management Group Name of Respondents Hearing Sites: Birmingham, Alabama NBC Securities, Inc. RBC Centura Banks, Inc. Nature of the Dispute: Non-Member vs. Member and Non-Member. REPRESENTATION OF PARTIES For PMW Partners d/b/a Capital Trust Wealth Management Group, hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02167 Kimon P. Daifotis Name of Respondent Hearing Site: San Francisco, California Jinni A. Harrigan Trust U/A DTD 4/26/2002 Nature of the Dispute: Associated Person vs. Customer REPRESENTATION OF PARTIES Claimant, Kimon P. Daifotis, hereinafter referred to as "Daifotis" or "Claimant": Audette Paul Morales, Esq., Keesal, Young & Logan, Lo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02336 Roland Lee Name of Respondents Hearing Site: San Francisco, California CapWest Securities, Inc. Patrick Burke Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Roland Lee, hereinafter referred to as "Claimant": Irwin Stein, Investors Recovery Services, Novate, California. Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charies P. Churchill (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number: 08-03790 Hearing Site: New Yorie, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Charies P. Churchill, hereinafter refenred to as "Claimanf: Richard J. Braun, Esq., Braun & Associates PLLC, Nashville, TN. Previously represented by Randy T.