Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02023 Tatsuko Wein Name of Respondent Hearing Site: Los Angeles, California Wedbush Morgan Securities, Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Tatsuko Wein, hereinafter referred to as "Claimant": Thomas L. Gourde, Esq., Ray & Gourde, LLP, Irvine, California. Respondent, Wedbush Morgan Securities

Case Number: 10-01253 Hearing Site: Louisville. Kentucky NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Barney, LLC ("Claimant") was represented by Yana Kromo, Esq. and Lauren R. Fox, Esq., Alonso, Andalkar, & l< ahn, PC, New York, New York. Brian W. Dabney ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on or about March 15, 2010. The Submission Agreement of Claiman

AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John Coker vs. Case Number: 10-00351 i-iearing Site: Dallas, Texas Names of Respondents Sterne, Agee & Leach, Inc., i-TRADEdirect.com Corporation, and Kenneth Michael Dwyer NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES John Coker ("Claimant") was represented by Allen L. Williamson, Esq., Simpson, B

STIPULATED AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Services Inc. vs. Case Number: 10-02070 Hearing Site: Minneapolis, Minnesota Name of Respondent Edna Jackson NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services Inc. ("Claimant") was represented by James J. McNamara, Esq., Schuyler, Roche & Crisham, P.O., Chicago, Illinois.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02264 Michael G. Turek Name of the Respondent Hearing Site: Baltimore, Maryland Joseph John Lapietra Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Michael G. Turel< , hereinafter referred to as "Claimant," appeared pro-se. For Joseph John Lapietra, hereinafter referred to as "Respondent": Le

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06845 Morgan Keegan & Co., Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Michael Sean Cain Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Co., Inc., hereinafter referred to as "Claimant": Shepherd D. Tate, Esq., Bass Berry & Sims, Memphis, Tennessee. For M

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03855 UBS Financial Services, Inc. ("Claimant") vs. Craig Marcello ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Brian S. Honnozi, Esq., Schuyler Roche & Crisham, P.C., Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 27, 2010 CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note dated December 2, 2003 (the "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06429 Ameriprise Advisor Services, Inc. (formeriy H&R Block Financial Advisors, Inc.) Name of the Respondent Hearing Site: Atlanta. Georgia John U. Hopkins Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Advisor Services, Inc. (formerly H&R Block Financial Advisors, Inc.), hereinafter

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-07063 A. Walden Welch Patrick W. Curry Name of Respondents Hearing Site: San Francisco, California Raymond, James & Associates, Inc. American Wealth Management, Inc. Jason Lee Seale III Jerome August Borzello Nature of Dispute: Customers vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimants A. Wald

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The Roger & Rosemary Enrico Foundation vs. Case Number: 09-04549 Hearing Site: Dallas, Texas Name of Respondent / Name of Third-Party Claimant Morgan Keegan & Company, Inc. vs. Names of Third-Partv Respondents Terence C. Sullivan and Paragon Advisors, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES The Roger &