Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Christian V. Quege (Respondent) Case Number: 09-01969 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": David L. Ward, Esq., and Cliff G. Anderson, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, MA. R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Elizabeth Schaper IRA, Estate of Ethel Schaper, Ethel Schaper Charitable Trust, Douglas Schaper Trust, Elizabeth Schaper, and Estate of Armin Schaper (Claimants) vs. Paul John Olivo, Anthony John D'Aquila, Jr. and Citigroup Global Markets, Inc. (Respondents) Case Number: 08-04482 Hearina Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Joseph Rich and Lenore Rich vs. Case Number: 10-01708 Hearing Site: Detroit, Michigan Names of Respondents Comerica Securities, Inc. and Dan i. Barish NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Joseph Rich and Lenore Rich ("Claimants") were represented by Anthony V. Trogan, Jr., Esq., Anthony

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Lori Bridges, Trustee of the Alvin L. Bridges Irrevocable Trust DTD 06/06/91 vs. Name of Respondent Ameriprise Financial Services, Inc. Case Number: 09-05996 Hearing Site: Indianapolis, Indiana NATURE Oi= THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Lori Bridges, Trustee of the Alvin L. Bridges Irrevocable Trust DTD 06/06/91 ("Claima

stipulated Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimants Case Number: 09-01823 Stephen Andrew Hoen Andrew Cap Leo Joseph Walker Allison Jo Alley Name of Respondent Hearina Site: San Diego, Califomia Banc of America Investment Services, Inc. n/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of Counter-Claimant Banc of America Investment Services. Inc. n/k/a Merrill Lynch

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 09-03872 Magaly B. Thrasher Jerold & Magaly Thrasher Trust Sean R. Bums UTMA/CA Name of the Respondents Hearing Site: Los Angeles. California Morgan Stanley & Co. Inc. Morgan Stanley Smith Barney Bmce Edward Hallenbeck Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES Claimants Magal

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Name of the Claimants Case Number: 10-02691 Ellen E. Feduniw The Feduniw Family Trust of 2005 DTD 9/29/05 Estate of Edward J. Feduniw Name of the Respondents Hearing Site: Los Angeles, Califomia Crowell, Weedon & Co. Charies David Carpenter Caleb Nathaniel Russell Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 10-03000 Glen D. Robertson Susan L. Robertson Edith C. Robertson Sheri Lewis-Sorensen John M. Sorensen Name of Respondents Hearing Site: San Francisco, California Securities America, Inc. Gelormini Financial Advisory Paul Otto Gelormini Nature of Dispute: Customers vs. Member, Associated Person, and Non-Member REPRESENTATION

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants/Counter-Respondents Shiomo Epiboim Michael A. Poutre, II EP Acquisition Corp. Respondents/Counter-Claimants Maxxtrade, Inc. Jeff Matthew Garstka Myron D. Schneidt Case Number: 09-03761 Hearing Site: Los Angeles, Califomia Nature of the Disputes: Associated Persons and Non-Member vs. Member and Associated Persons Member and Associated Persons vs.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00222 Samuel A. Ramirez & Co., Inc. Name of the Respondent Hearing Site: San Juan, Puerto Rico Jean Cario Hernandez Resales Nature of the Dispute:' Member vs. Associated Person. REPRESENTATION OF PARTIES For Samuel A. Ramirez & Co., Inc., hereinafter referred to as "Claimant": Carios Jose Onetti-lziarry, Esq., Carios Jose Onetti-lziar