Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dennis and Sandra Malanga and DESA Corp. Profit Sharing Plan (Claimants) vs. Lincoln Financial Securities Corp. (f/k/a Jefferson Pilot Securities Corp.), Pershing LLC, and Charies J. Induddi (Respondents) Case Number: 09-02638 Hearinq Site: Newark, New Jersey Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Dennis Malanga an

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimants Case Number: 10-00536 Ivan Sleight Hazel M. Sleight Name of Respondent Hearinq Site: Portland, Oregon Centaurus Financial, Inc. Nature of Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Ivan Sleight and Hazel M. Sleight, hereinafter collectively referred to as "Claimants": Joel A. Goodman, Esq., Goodman & Nekvasil, P.A., Clearwate

Stipulated Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Heather Donahue (Claimant) vs. Advanced Equities, Inc. (Respondent) Case Number: 09-05937 Hearing Site: New York, New York Nature of the Dispute: Associated Persons v. Member. REPRESENTATION OF PARTIES Claimant Heather Donahue, hereinafter referred to as "Claimant": Howard 1. Elman, Esq., Matalon Shweky Elman PLLC, New York, NY. Respondent Advanced Equities, Inc., her

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Sacco (Claimant) vs. UBS Securities, LLC (Respondent) Case Number: 09-01067 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant David Sacco hereinafter referred to as "Claimant": Jeffery L. Liddle, Esq., Liddle & Robinson, L.L.P., New York, NY. Respondent UBS Securities, LLC, hereinafter referred to as "Re

Award FINRA Dispute Resolution In the Mafter of the Arbitration Between: Name of the Claimant Mary D. Calzat, individually, as Trustee for the Mary D. Calzat IRA and as Trustee of the Calzat Family Trust DTD 11/25/98 Name of the Respondents QA3 Financial Corp. Gregory Paul Bolton Stephen Kent Wild Thomas Gerard Zielinski Kenneth Arthur Parker Case Number: 09-05897 Hearinq Site: Las Vegas, Nevada Nature of the Dispute: Customer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-02939 Maurer and Associates Capital Management Roger D. Maurer Shay Lindemann Name of Respondents Hearinq Site: Denver, Colorado Charies Schwab & Co., Inc. Kimon Peter Daifotis Name of Counter-Claimants Charies Schwab & Co., Inc. Kimon Peter Daifotis Name of Counter-Respondent Maurer and Associates Capital Management

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01151 Aydee G. Ospina Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Aydee G. Ospina, hereinafter referred to as "Claimant": V. Michael Arias, Esq., V. Michael Arias, P.A., Coral Gables, Florida. For Merr

Award FINRA Diapute Reaolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00803 Raymond James Financial Services, inc. Name of the Respondent Hearinq Site: Little Rock, AR Dwight Hazelwood Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Raymond James Financial Services, Inc., hereinafter referred to as "Claimant": John K. Wells, Esq., Michaels, Ward & Rabinovitz, LLP, Bosto

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03360 Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Claimant") vs. Nigel Graham ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Paul T. Cahill, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATEFILED: July 26, 2010 CASE SUMMARY: Claimant asserted the cause of action of breach of the promissory note dated March 2, 2007

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05841 Merrill Lynch, Pierce, Fenner & Smith Inc. Name of the Respondent Hearinq Site: Fort Lauderdale, Florida Charles Bishop Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith Inc., hereinafter referred to as "Claimant": Jason Murt:agh, Esq., and Beth Delaney, Esq.