AWARD FINRA DISPUTE RESOLUTION CASE: 10-04165 Peter B. Bradford and Georgann Bradford, and Georgann Bradford, IRA (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Peter B. Bradford, Esq., Oklahoma City, OK. For Respondent appeared Sean B. Meehan, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: September 10, 2010 CASE SUMMARY: Claimants

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02434 Natalie Schoengood (Claimant) vs. David Louis Klein (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Boca Raton, FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: May 20, 2010 CASE SUMMARY: Claimant asserted the following cause of action: misappropriation of funds. The cause of action relates to MPF Senior Note I.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04219 Lamar Potts and Ann M. Potts (Claimants) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Curt R. Soefker, Esq., Morgan Keegan & Company, Inc., Memphis, TN. NATURE OF DISPUTE: Customers v. Member DATE FILED: September 17. 2010 CASE SUMMARY: Claimants

Award FINRA Dispute Resolution In the Matter of the Arbitration Beh/veen: Isaac Pardo (Claimant) vs. David Kaminsky and Stifel, Nicolaus & Company, Inc. (Respondents) Case Number: 10-00669 Hearino Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Isaac Pardo, hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway, New York, NY. Respondents David Kam

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Daniel Farash (Claimant) vs. UBS Financial Services Inc. and Steve Feit (Respondents) Case Number: 09-01787 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Daniel Farash, hereinafter referred to as "Claimant": Louis F. Burke, Esq., Louis F. Burke, P.O., New York, NY. Previously, represented by Will

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03967 Morgan Stanley Smith Barney ("Claimant") vs. Gregory John Januleski ("Respondent") REPRESENTATION OF PARTIES: Morgan Stanley Smith Barney ("Claimant" or "Morgan Stanley") was represented by Samuel P. Mauch, Esq., Sarestky Hart Michaels & Gould, PC, Birmingham, Michigan. Gregory John Januleski ("Respondent" or "Januleski") did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 2,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John Winston and Cathy Winston vs. Case Number: 09-05955 Hearing Site: St. Louis, Missouri Names of Respondents Charles Schwab & Co., Inc. and James Scott Link NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES John Winston and Cathy Winston ("Winstons"), hereinafter collectively referred to as "C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-05926 Solomon and Bessie Feffer Trusts Amnon P. Feffer Name of Respondents Hearing Site: Los Angeles, Califomia Buckman, Buckman & Reid, Inc. First Clearing Corporation National Financial Services LLC Fidelity Investments Institutional Services Company, Inc. Name of Counter-Claimants _ . Buckman, Buci^man & Reid, Inc.

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02387 Wells Fargo Advisors Financial Networic, LLC, f/k/a Wachovia Securities Financial Networi< , LLC Name of Respondent Hearing Site: San Francisco, Califomia Bradley Everett Gardner Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors Financial Network, LLC, f/k/a Wacho

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-03595 Kovack Securities, Inc. Name of the Respondent Hearing Site: Tampa, FL Marco A. Caporale Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Kovack Securities, Inc. ("Kovack"), hereinafter referred to as "Claimant": Brian J. Kovack, Esq., Kovack, Ft. Lauderdale, FL, Marco A. Caporale ("Caporale