Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03582 Jason Schall Name of the Respondent Hearinq Site: Columbia, South Carolina UBS Financial Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Jason Schall, hereinafter referred to as "Claimant": Mitchell Willoughby, Esq., Elizabeth Zeck, Esq. and Andrew MacLeod, Esq., Willoughby & Hoe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02511 Joseph Torsiello Name of the Respondent Hearinq Site: Boca Raton, Florida AXA Advisors, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Joseph Torsiello, hereinafter referred to as "Claimant": Marc S. Dobin, Esq., Marc S. Dobin, P.A., Jupiter, Florida. For AXA Advisors, LLC, hereinafter referred

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03140 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Jason Latorre (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: July 9, 2010. CASE SUMMARY: Claimant asserted the following causes of action: breach of

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services LLC (Claimant) v. David F. LaMay and Essex Financial Services, Inc. (Respondents) Case Number: 10-03020 Hearing Site: Hartford, Connecticut Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Services LLC, hereinafter referred to as "Claimant": Jennifer A. Kenedy, Esq., Locke

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Victor H. Stora and Lucille Stora, Victor N. Stora, Katherine Ruotolo and Gina Ruotolo, George Tropiano, Joseph Quattrocchi, and Dependable Auto Body, Inc. (Claimants) v. Strasbourger Pearson Tulcin Wolff, Inc., Andrew Gonchar, Polyvios T. Polyviou, Ronald Moschetta, Michael J. Schumacher, and Allan M. Levine (Respondents). Case Number: 09-01769 Hearing Site: New York, New York Natu

AWARD FINRA Diepute Reeolution In the Matter of the Arbitration Between: Name of Claimant Paul Leo Stanley • -VS.- • . Names of Respondents Equitas America. LLC, Dennis Brown, and Kim Liddell CaseNumber: 10-00210 Hearing Site: Southfield, Michigan NATURE OF THE ryiypi,ITf; Associated Person vs. Member and Associated Persons REPRESENTATION QF PARTIES Paul Leo Stanley ("Claimant") wa^ represented by Marc A. Goldman, Esq., Marie

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Antoinette S. Guenther, Antoinette S. Guenther Revocable Trust vs. CaseNumber: 10-00558 Hearing Site: Milwaukee, Wisconsin Names of Respondents B.C. Ziegler and Company, RBC Dain Rauscher Inc. a/k/a RBC Capital Markets Corporation, and Richard A. Schilffarth, Sr. NATURE QF THE DISPUTE Customer vs. Members and Associated Person Antoinette S. G

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John A. Winter and Margie M. Winter Joint Account, John A. Winter IRA, John A. Winter 401K Plan, and Margie M. Winter IRA vs. Names of Respondents Robert W. Baird & Company, Inc. and Thomas G. Waldklrch CaseNumber: 09-06155 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATIQN

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Ronee S. Mills Name of Respondent Scottrade, Inc. Case Number: 09-02988 Hearinq Site: Billings, Montana Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Ronee S. Mills, hereinafter refenred to as "Ciaimanf: Michael P. Heringer, Esq., Brown Law Firm, P.C, Billings, Montana Respondent, Scottrade, Inc., hereinafter

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03116 Barbara F. Raitzky (Claimant) vs. Securities America, Inc., and Richard Hoffman (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Barto, PA. For Respondent Securities America, Inc., appeared Kelly R. Davis, Esq., Securities America, Inc., La Vista, NE. Respondent Richard Hoffman appeared pro se, Palm, PA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATEFILED: July 2, 2