Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-05989 Joseph J. Bahuth Angele Bahuth Name of Respondents Hearing Site: Los Angeles, California UBS Financial Services, inc. Andrew Coulter Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Joseph J. Bahuth and Angele Bahuth, hereinafter collectively referred to as "Claimants": Phil

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 09-04009 King Credit Shelter Trust, Edwin King, Trustee Bypass Trust of the Allderdice 1990 Living Trust DTD 9/5/01, Charlene Allderdice, Trustee Name of the Respondent Hearing Site: Los Angeles, California UBS Financial Services, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, King Credit Shelt

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-03803 Gilbert W. Lee Gilbert W. Lee, Trustee of the Lee Family Trust Name of Respondents Hearina Site: San Diego, California A.G. Edwards & Sons, Inc. Wachovia Securities, LLC Bart A. Martinez William R. Lilliott, III Nature of Dispute: Customers vs. Members and Associated Persons REPRESENTATiON OF PARTIES Claimants, Gilbert

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 09-02892 Keith Cohn, M.D., individually and as Trustee of the Keith Cohn Rollover IRA Tmst Respondents/Counter-Claimants Hearing Site: San Francisco, California Sanford C. Bernstein & Co., LLC AllianceBemstein L.P. Nature of Disputes: Customer vs. Member and Non-Member Member and Non-Member vs. Customer REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Ciaimant/Counter-Respondent Morgan Stanley Smith Barney vs. Case Number: 09-07135 i-iearing Site: Pittsburgh, Pennsylvania Name of Respondent/Counter-Claimant Richard M. Costa NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Barney ("Claimant") was represented by Catania T. Facher, Esq., and Yana Kromo, Esq

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Sidney Small vs. Case Number: 09-04996 Hearing Site: Chicago, Illinois Names of Respondents RBC Wealth Management n/k/a RBC Capital Maricets. LLC and Timothy David Disparte NATURE OF THE PISPUTg Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Sidney Small ("Claimant") was represented by Michael Huberman, Esq. and Seth

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06545 Empire Financial Group, Inc. Name of the Respondent - Hearing Site: Tampa, FL Gregory S. Roper Nature of the Dispute: Terminated Member vs. Associated Person. REPRESENTATION OF PARTIES For Empire Financial Group, Inc. ("Empire"), hereinafter referred to as "Claimant": Todd A. Zuckerbrod, Esq., Todd A. Zuckerbrod, P.A., Boca

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05842 Bob J. Starnes The Starnes Family Trust Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bob J. Starnes and The Starnes Family Trust, hereinafter collectively referred to as "Claimants": Jeffrey P. Colem

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04611 Wells Fargo Advisors, LLC, formerly Wachovia Securities, LLC ("Claimant") vs. Kenneth Lee Lannigan, Jr. ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Kenneth O'Connor, Esq., Lubiner & Schmidt, LLC, Cranford, New Jersey Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 13, 2010 CASE SUMMARY: Claimant asserted the cause of action of breach of promissory

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04003 Merrill Lynch, Pierce, Fenner, & Smith Incorporated (Claimant) vs. Cody D. Hawkins- Fitzgerald (Respondent) REPRESENTATION OF PARTIES: For Claimant: Larry J. Lipka, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Respondent did not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATE FILED: September 7. 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of promissor