Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 09-03930 Jesse Gomez Respondents Hearing Site: San Francisco, California Fidelity Brokerage Services LLC LPL Financial Corporation, f/kia Linsco/Private Ledger Corp. SCF Securities, Inc. Nationwide Securities, LLC Cross-Complainant SCF Securities, inc. Cross-Respondent Jesse Gomez Nature of Disputes: Associated Person vs. Members

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of Claimant Case Number: 09-02727 Ronald Woolworth Name of Respondents Hearing Site: Seattle, Washington Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch Private Finance, Inc. Merrill Lynch Bank USA Nature of Dispute: Customer vs. Member and Non-Members REPRESENTATION OF PARTIES Claimant, Ronald Woolworth, hereinafter referred to as "Claiman

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05496 IB Corp Investments and Business Group Name of the Respondent Hearing Site: Nashville, TN Citigroup Global Markets Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For IB Corp Investments and Business Group, hereinafter referred to as "Claimant": Curtis Carlson, Esq., Carlson & Lewittes, P.A.

Case Number: 09-02216 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Renan I. Sugarman, Esq., Renan Sugarman, PC, Chicago, Illinois. Steven E. Farris ("Respondent" or "Farris") was represented by Alan N. Zvibleman, Esq., Capes, Sokol, Goodman & Sarachan, PC, St. Louis, Missouri. CASE INFORMATION The Statement of Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Martin R. Hauptman (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jeffrey Alexander (Respondents) Case Number: 09-07147 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Martin R. Hauptman, hereinafter referred to as "Claimant": Adolph D. Seltzer, Esq., Attorney at Law, New York,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04181 Wells Fargo Advisors, LLC (Claimant) vs. Marc Chait (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors LLC, St. Louis, MO. For Respondent appeared Brian D. Buckstein, Esq., Brian D. Buckstein, P.A., West Palm Beach, FL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 17, 2010 CASE SUMMARY: Claimant asserted the following cause of action

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03648 Deanna M. Maher, Trustee of Deanna M. Maher Living Trust dated August 1, 2005 (Claimant) vs. Allstate Financial Services, LLC and Daniel Hackett (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Holland, Ml. For Respondents appeared Samantha Tesser Haimo, Esq., Yoss LLP, Fort Lauderdale, FL NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 10, 2010 CASE SU

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03300 Sandra K. Johnson Names of the Respondents Hearing Site: Columbia, South Carolina Andrew Garrett Inc. David Scaffe Andrew Garrett Sycoff Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sandra K. Johnson, hereinafter referred to as "Claimant": Sarah G. Anderson, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04274 Marc A. Miller Name of the Respondent Hearing Site: Tampa. Florida Edward D. Jones & Co., LLP Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Marc A. Miller, hereinafter referred to as "Claimant": George L. Guerra, Esq. and AI Villoch, Esq., Wiand Guerra King P.L., Tampa, Florida. For Edwar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-04089 Lehman Brothers Holdings Inc., as assignee of Lehman Brothers Inc. Name of Respondent Hearina Site: San Francisco, California Luis Morales Nature of Dispute: Non-Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Lehman Brothers Holdings Inc., as assignee of Lehman Brothers Inc., hereinafter refered to as "Claimant