Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00339 Barbara M. Willis Names of the Respondents Hearino Site: Richmond, Virginia Great American Advisors, Inc. Interactive Financial Advisors, Inc. Name of the Third Partv Respondent Leiand O. Stevens Nature of the Dispute: Customer vs. Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For Claimant Barbar

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04480 Jerome J. Hurt and Theresa L. Hurt (Claimants) vs. Edward D. Jones & Co., L.P., and Brian Simmons (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Sarah M. Harless, Herrick & Hart, S.C., Eau Claire, Wl. For Respondents appeared Dennis J. Capriglione, Esq., Edward Jones & Co., L.P., St. Louis, MO. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: Octobers, 2010 CAS

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04214 Wells Fargo Advisors, LLC (Claimant) vs. William Holleran (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Brighton, CO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 20, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreement. Claim D

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03998 William H. Marshall, Jr. and Jane E. Marshall, Joint TTEE, Marshall Revocable Living Trust A (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William H. Marshall, Jr., Los Altos, CA. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 3, 2010 CA

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Smith Barney, LLC (Claimant) vs. Amelie S. Escher (Respondent) Case Number: 10-00833 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley Smith Barney, LLC, hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, LLC, Cranford, NJ. Respondent Amelie S. Esch

stipulated Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Fidelity Brol^erage Services LLC (Claimant) v. Stephen Beatty and Morgan Stanley Smith Barney, LLC (Respondents) Case Number: 10-05444 Hearing Site: New York, New Yorl^ Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Fidelity. Brokerage Services LLC, hereinafter referred to as "Claimant": Jennifer A. Kenedy, Esq., Loc

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ben Joseph Trust (UA DTD 12/31/82) and Epstein Real Estate Advisory Retirement Trust (UA DTD 12/31/82) (Claimants) vs. E*Trade Securities. LLC and Adam 1. Gutman (Respondents) Case Number: 09-01923 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Ben Joseph Trust (UA DTD 12/31/82) ("Ben Jo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dr. Satish Anand (Claimant) vs. Granite Securities, LLC, Obsidian Financial Group, LLC, The Investment Center, Inc., PGP Financial, Inc., Securities America, Inc., and Alfred Guy Call (Respondents) Case Number: 09-00352 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Dr. Satish Anand, hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-06773 Jacqueline Picquelle (fl^a Moseman) Name of Respondent Hearing Site: San Diego, Caiifomia Scottrade, Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Jacqueline Picquelle (fka Moseman), hereinafter referred to as "Claimant": Robert J. Benbenek, Esq., Robert J. Benbenei< , LLC, St. Louis, Missouri. R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number 10-02704 Brian A. Sullivan, CPA McLean Securities, LLC Name of the Respondents Hearino Site: San Francisco, Caiifomia Guy L Perego Maria A, Perego Perego Properties, LLC Perego-Oai< wood, LLC Perego-North Stafford, LLC Nature of the Dispute: Member and Associated Person vs. Customers REPRESENTATION OF PARTIES Claimants, Br