STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Woodrow & Joyce Vermillion vs. Names of Respondents Ameriprise Financial Services, inc. and Dean Michael Donohue Case Number: 09-05884 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Woodrow & Joyce Vermillion ("Claimants") were represented by Randall S. St

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 09-05568 The William F. Runge Revocable Trust u/a/d 04/12/06, by its Co-Trustee, Nicole A. Secrest Nicole A. Secrest, individually and on Behalf of her IRA, The William F. Runge IRA, by its Beneficiary, Nicole A. Secrest The Trust Created f/b/o Nicole A. Secrest u/a Dated 4/12/06, by Its Trustee, Valerie A. Secrest Names of the Respond

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01336 Myra C. Pierotti Names of the Respondents Hearing Site: Memphis, Tennessee Edward Jones and Julia San Roman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Myra C. Pierotti, hereinafter referred to as "Claimant": Fred M. Acuff, Jr., Esq., Farris Bobango Branan PLC, Memphis. Ten

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Clainnant Case Number: 09-05535 Maria A. Thornton Names of the Respondents Hearing Site: Tampa, Florida Investors Capital Corp. Merrill Lynch, Pierce, Fenner and Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Maria A. Thornton, hereinafter referred to as "Claimant": Bruce D. Cakes, Esq., Cakes & Fosher, LLC, St. Loui

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01691 Morton E. Wolverton Name of the Respondent Hearing Site: Tampa, Florida Robert W. Baird & Co., Incorporated Nature of the Dispute: Associated Person vs. Member. REPRESENTATiON OF PARTIES For Claimant Morton E. Wolverton, hereinafter referred to as "Claimant": William T. Kirtley, Esq., William T. Kirtley, P.A., Sarasota, Florida.

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant TGS-NOPEC Geophysical Company vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 08-04427 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customer vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATiON OF PARTIES TGS-NOPEC Geophysical Company ("Claimant" or "TGS") was represented by Todd A.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Martin Bennett and Diana I. Bennett (Claimants) vs. Randy Jay Ross (Respondent) Case Number: 09-04246 Hearina Site: New Yorl^. New York Nature of the Dispute: Customers vs. Associated Person REPRESENTATION OF PARTIES Claimants Martin Bennett ("M. Bennett") and Diana I. Bennett ("D. Bennett"), hereinafter collectively referred to as Claimants": Liam O'Brien, Esq., and Raji Kochhar, E

Stipulated Award FINRA Dispute Resolution In {he Matter of ttie Arbitration Between: Robert Micley, Individually and on behalf of his IRA, and as Trustee for the Williamstown Anesthesia MPP Plan DTD 01/01/94 FBO Carolyn Henderson, The Williamstown Anesthesia MPP Plan FBO Robert Micley, and The Williamstown Anesthesia MPP Plan FBO Donna Maruco (Claimants) vs. Gilford Securities Incorporated, Ralph Worthington IV, David Stanley Kaplan, Robert Andrew Maley, Bon

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard L. Brown, Karen Lee Midyet, Trustee for the Sarah Brown and David Brown Trusts (Claimants) vs. Bruce Pomerantz, Charles Men/vin and Wachovia Securities, LLC (Respondents) Case Number: 09-02029 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimants Richard L. Brown ("R. Brown"), Karen Lee Mi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-03404 Aramis Seferian Name of the Respondent Hearing Site: Los Angeles, California Antonio Vallejo Nature of the Dispute: Associated Person vs. Customer REPRESENTATION OF PARTIES Claimant, Aramis Seferian, hereinafter refenred to as "Claimanf: Timothy Feil, Esq., Finkelstein & Feil, LLP, Garden City, New York. Respondent, Antonio