Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05961 Charies W. Ott, as Trustee and Sole Beneficiary of the MBO Insurance Brokers, Inc. Profit Sharing Plan FBO Charles W. Ott Name of Respondents Hearing Site: San Francisco, Califomia Charles Schwab & Co., Inc. Kimon P. Daifotis Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Cha

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Claimants/Counter-Respondents Case Number: 10-01448 Merrill Lynch International Finance, Incorporated Merrill Lynch. Pierce. Fenner & Smith Incorporated Respondent/Counter-Claimant Hearing Site: San Diego. California David Lynn Nature of Disputes: Member and Non-Member vs. Associated Person Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-01528 Kay F. Red Horse Kay F. Red Horse Revocable Trust Charitable Remainder Trust of Kay F. Red Horse Name of the Respondent Hearing Site: Nashville, TN Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Kay F. Red Horse, Kay F. Red Horse Revocable Trust and Charitable Remain

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00366 Morgan Stanley Smith Barney LLC Name of the Respondent Hearing Site: Boca Raton, FL Primo Musumeci Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Morgan Stanley Smith Barney LLC ("MSSB"), hereinafter referred to as "Claimant": Tracy L. Gerber, Esq. and Elizabeth E. Moum, Esq., Greenberg Traurig, P.A.,

AWARD FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of Claimant Mary Elliott Brandin and Mary Elliott Brandin, Trustee of The Mary Elliott Brandin Trust dated 12/03/90 vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 09-07161 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Maritets, Inc. vs. Case Number: 10-00989 Hearing Site: Dallas, Texas Name of Respondent Mark Fowler NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Mari< ets, Inc. ("Claimant" or "Citigroup") was represented by Yana Kromo, Esq., Alonso, Andalkar & Kahn, PC, New York, New York. Mar

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05372 Citigroup Global Markets, Inc. (Claimant) vs. Robert O'Heriihy (Respondent) REPRESENTATION OF PARTIES: For Claimant Citigroup Global Markets, Inc., Yana Kromo, Esq., Alonso, Andalkar & Kahn, P.O., New York, NY. Respondent Robert O'Heriihy, did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: November 24, 2010 CASE SUMMARY: Claimant asserted the following

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04069 David P. and Lety E. Linn, and Lety E. Linn (Claimants) vs. Chase Investment Services Corp., and Tony James Wittrock (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared David Paul Linn, Ocean Shores, WA. For Respondents appeared Elizabeth M. Hill, Esq., Ulmer & Berne LLP, Cleveland, OH. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: September 7, 2010 CASE SUMMARY: Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Leslie C. Katz (Claimant) vs. Citigroup Global Markets, Inc. d/b/a Smith Barney and Marvin Lerman (Respondents) Case Number: 09-06657 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Leslie C. Katz, hereinafter referred to as "Claimant": Alex Gardner, Esq., Mintz and Gold, New York. NY. Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Five Rivers Asset Management, LLC (Claimant) vs. Interactive Brokers, Inc. and Joseph Leschinsky (Respondent) Case Number: 09-05068 Hearino Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Five Rivers Assets Management, LLC, hereinafter referred to as "Claimant": Robert E. Thompson, Esq., Law Office of