STIPULATED AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Southwest Securities, Inc. vs. Case Number: 09-03917 Hearing Site: Dallas, Texas Name of Respondent Bryan Edward Luter NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Southwest Securities, Inc. ("Claimant") was represented by Brian J. Hurst, Esq. and J. Brent Alldredge, Esq., Baker & McKenzie, LLP, Dallas,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Barbara Golds, Individually and in her capacity as Beneficiary of the Jack Golds, IRA, and the Jack Golds Roth IRA vs. Case Number: 09-05805 Hearing Site: Detroit, Michigan Names of Respondents LPL Financial Corporation f/k/a Linsco/Private Ledger Corporation, Legent Clearing, LLC, and David R. Stecl< ler NATURE OF THE DISPUTE Customer vs. Me

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05641 Andrew J. Michalak Names of the Respondents Hearing Site: Baltimore, Maryland American Investors Company Dunham & Associates Investment Counsel, Inc. Dunham Trust Company Salvatore M. Capizzi Holly Lunde Sewell L. Frey, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06330 Kritz Family LLC Name of the Respondent Hearing Site: New Orleans, Louisiana Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Kritz Family LLC, hereinafter referred to as "Claimant": Debra Brewer Hayes, The Hayes Law Firm, P.C., Houston, Texas. For Morgan Keegan & Compan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Karen Hyunga Kim (Claimant) v. RBS Securities Inc. (Respondent) Case Number: 10-00632 Hearing Site: Hartford, Connecticut Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Karen Hyunga Kim, hereinafter referred to as "Claimant" appeared pro se. Respondent RBS Securities Inc., hereinafter referred to as "Respondent": Gabriel L. Williams, Esq,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Freedom Investors Corp. (Claimant) v. Sydney V. Pinter and Kahal Shomrei Hadath (Respondents) Case Number: 09-02088 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant Freedom Investors Corp., hereinafter referred to as "Claimant": Francis M. Curran, Esq., McCormick & O'Brien LLP, New York, NY. Previously represented b

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lawrence F. Haaker (Claimant) vs. Morgan Stanley & Co., Incorporated and John Dunn (Respondents) Case Number: 10-00418 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lawrence F. Haaker, hereinafter referred to as "Claimant": Johnathan Sack, Esq., Sack and Sack, New York, NY. Claimant previousl

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Calvin Theodore Samuels, Jr. (Claimant) vs. Harvey Start Berk and LPL Financial Corporation (Respondents) Case Number: 09-06621 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Calvin Theodore Samuels, Jr. ("Claimant"): Maria S. Wilson, Esq., Walker, Green, Wilson & Butler, New York,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Nina Howerton vs. Names of Respondents Chase Investment Services Corp. and Marie L. Calabrese Case Number: 09-04182 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Nina Howerton ("Claimant") was represented by Joni M. Pixel, Esq., Pixel Law Offices, PLLC, Okemo

Case Number: 09-01728 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Thomas A. Redmond, individually and as Trustee of the Thomas A. Redmond Rev Liv Trust u/a dtd 2/26/96, Amnd'd 4/19/04, Second Amnd'd 6/20/07, ("Claimant") was represented by Joseph H. Spiegel, Esq., Joseph H. Spiegel, P.C., Ann Arbor, Miciiigan. Oppenheimer & Co., Inc. ("Oppenheimer") and Joseph Eckrich ("Eckrich"),