Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Primary Capital. LLC (Claimant) vs. Richard Dorsi (Respondent) Case Number. 10-04198 Hearing Site: New Yorie, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Primary Capital, LLC, hereinafter refened to as "Claimant": Gregory P. Vidler. Esq., Guzov Ofeink, LLC, New York. NY. Respondent Richard Dorsi, hereinafter referred to as "R

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Kenneth Willenson and Layton Property, Inc. vs. Case Number: 08-04243 Hearing Site: Milwaukee, Wisconsin Names of Respondents Pacific West Securities, Inc., William M. Swayne II, Philip A. Pizelo, Shanon L. Ford, and Mark T. McCloskey NATMRE PF THE PI?PV!TE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Ken

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Joan Bonert, Individually and as Trustee for the Joan Bonert Trust U/A/D 11-25-87 vs. Name of Respondent/Counter-Claimant/ Third-Party Claimant AOS, Inc. vs. Name of Third-Party Respondent Michael Westmoreland Case Number: 09-05257 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customer vs. Member vs. Associa

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Nicholas Palumbo (Claimant) v. E*Trade Securities LLC and E*Trade Clearing LLC (Respondents) Case Number: 09-06565 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Nicholas Palumbo, hereinafter referred to as "Claimant" was represented by Dominic J. Aprile, Esq., Bathgate, Wegener & Wolf, Lakewood, NJ until

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Smith Barney LLC (Claimant) vs. Robert Durham (Respondent) vs. William R. Cashman, III (Third-Party Respondent) Case Number: 10-01020 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Initial Claim: Member vs. Associated Person. Third-Party Claim: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley Smith

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Robert Connell (Respondent) Case Number: 10-03486 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Karen P. Gaster, Esq. and Christopher S. Koll

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alexandra Gennano (Claimant) vs. Menill Lynch, Pierce, Fenner and Smith Incorporated (Respondent) vs. Jennifer Gennano (Third-Party Respondent) Case Number: 10-01204 Hearing Site: Boston, Massachusetts Nature of the Dispute Initial Claim: Customer vs. Member. Third-Party Claim: Member vs. Customer. Public Arbitrator Pilot Program/Majority Public Panel REPRESENTATION OF P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01620 Donald G. Eckrod Name of the Respondent Hearing Site: Richmond, Virginia E*Trade Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Donald G. Eckrod, hereinafter referred to as "Claimant": W. Scott Greco, Esq., Greco & Greco, P.C, McLean, Virginia. For E*Trade Securities, LLC, hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-04908 Stamford Y. Niou Names of the Respondents Hearing Site: Richmond, VA Howard D. Hardin Laurie A. Hardin Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Stamford Y. Niou, hereinafter referred to as "Claimant": Susan Poder MacFariane, Executive Director, Legal and Compliance, Morgan Stanley

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00569 Kory B. Hummer Names of the Respondents Hearing Site: Richmond, Virginia H. Beck, Inc. Richard Ganz Vanderbilt Securities, LLC Fixed Income Management Group, Inc. Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For Kory B. Hummer, hereinafter referred to as "Claiman