AWARD FINRA Diapute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley Smith Banney, LLC vs. Case Number: 10-01256 Hearing Site: Chicago, Illinois Name of Resoondent Stefan E. Rosuck NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Barney. LLC ("Claimant" or "MSSB") was represented by Kenneth O'Connor, Esq.. Lubner & Schmidt. LLC, Cranford, New Jersey.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04368 Lehman Brothers Holdings Inc., as assignee of Lehman Brothers Inc. ("Claimant") vs. John David Stroud ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Barry 8. Gold, Esq., Heather B. Middleton, Esq. and Victor A. Machcinski, Jr., Esq., Krebsbach & Snyder, P.O., New Yorl< , New Yorl< . Respondent did not appear. NATURE OF DISPUTE: Non-Member v. Associated Person DATE FILED: September 28, 2010 CASE

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimants Case Number: 08-01388 Frederick F. Hemrian Deborah S. Herman Respondents Hearing Site: San Francisco, Califomia Charles Schwab & Co., Inc. Colleen Mary Langs Marcia Harker Novick Nature of Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Frederick F. Herman and Deborah S. Herman, hereinafter collectively refe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06563 Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of the Respondent Hearing Site: Las Vegas, Nevada Mark James Nolan Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Beth Delaney, Esq. and Sean

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 09-06251 Albert S. Chen Name of the Respondents Hearing Site: San Francisco, California Deutsche Bank Securities, Incorporated William Arthur Svoboda Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Albert S. Chen, hereinafter referred to as "Claimant": John Balestriere, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Melvin R. Aoki Melvin R. Aokl Revocable Living Trust Barbara Porter Barbara Porter Revocable Trust Marjorie B. Parker Laureen C. Branch Branch Holdings, Inc. Blur Industries, Corp. Avis Y. Nakama Avis Y. Nakama Trust Lum Borthers, LLC Piikoi Kawananakoa Just Black, LLC Kazuko Y. Tietz Name of Respondents National Financial Se

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nanrte of Claimant Case Number: 10-00957 Belinda E. Bullock Name of Respondents Hearina Site: Los Angeles, California Wedbush Securities, Inc. Edward W. Wedbush Nature of Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Belinda E. Bullock, hereinafter referred to as "Claimant": H Thomas Fehn, Esq., Fields, Fehn & Sherwin

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03927 Memll Lynch. Pierce. Fenner & Smith Incorporated (Claimant) vs. Michael J. Gill (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey F. Manzella. Esq.. Rubin. Fortunate & HariDison, P.C. Paoli, PA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: September 1. 2010. CASE SUMMARY: Claimant asserted the following causes of

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07225 UBS Financial Services Inc. (Claimant) vs. Anthony Carpenter (Respondent) REPRESENTATION OF PARTIES: For Claimant: Michael T. Roche, Esq., Schuyler, Roche & Crisham, P.C, Chicago, Illinois Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 29, 2009. CASE SUMMARY: Claimant asserted the following causes of action: breach of promissory note/contract and unjust

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03734 Citigroup Global Markets Inc. ("Claimant") vs. Michael S. Bell ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Justin A. Goldberg, Esq., Alonso, Andalkar & Kahn, PC , New York, NY. Respondent did not appear in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: August 19, 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of contract. The cause of action relat