AWARD FINRA Disputa Resolution In the Matter of the Arbitration Between: Name of Claimant Rhonda S. Waksman vs. Name of Respondent CCO Investment Services Corp., T/D/B/A Citizens Investment Services Case Number: 09-00759 Hearing Site: Pittsburgh, Pennsylvania NATURE QFTHE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Rhonda S. Waksman ("Claimant") was represented by Richard W. Kelly, Jr., Esq., Kelly Law, Pittsburgh, Penns

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Cheryl Schwarzwaelder vs. CaseNumber: 04-04184 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc. and Timothy Paul Miller and Name of Counter-Claimant Merrill Lynch, Pierce, Fenner & Smith Inc. vs. Name of Counter-Respondent Cheryl Schwarzwaelder NATURE QF THE DISPUTE Associated

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Valenti and Christine Valenti (Claimants) vs. Patrick Alfano and TAG Securities Corp. (Respondents) vs. Thomas Garriton, Sr. (Third-Party Respondent) Case Number: 09-00348 Hearinq Site: New York, New York consolidated with Thomas A. Garriton, Sr. (Claimant) vs. Patrick Alfano and TAG Securities (Respondents) Case Number: 09-01313 Hearinq Site: New York, New York N

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas F. IVlotamed and Christine B. Motamed (Claimants) vs. UBS Financial Services, Inc., R. Ashley Early, and Judith L. Sierko (Respondents) Case Number: 09-02087 Hearinq Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Thomas F. Motamed ("T. Motamed") and Christine B. Motamed ("C. Motamed"

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03036 Wells Fargo Advisors, LLC (Claimant) vs. Michael Miller (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jim Van Dyke, Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared J. Benjamin Dick, Esq., Law Offices of J. Benjamin Dick, Charlottesville, VA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 29, 2010 CASE SUMMARY: Claimant asserted the following cause of acti

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01471 Jane Von Boiler Klotz (Claimant) vs. Marquette de Bary Co., Inc., Mikiel de Bary, Michael Dawson, and Monarch Financial Corporation of America (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Nathan P. Pereira, Esq., Henderson & Koplik, New York, NY. For Respondent Marquette de Bary Co., Inc., appeared Marquette de Bary, New York, NY. Respondent Mikiel de Bary appeared pro se, Roxbury, CT. R

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Georgiann G. Henritzy, individually and as Trustee of the Georgiann G. Henritzy Trust dated 2/13/1991 vs. CaseNumber: 09-06653 Hearing Site: Southfield, Michigan Names of Respondents Menrill Lynch, Pierce, Fenner & Smith incorporated and Robert Roland NATURE QF THE DiSPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Steven Edelson and Ellen Edelson (Claimants) vs. UBS Financial Services, Inc. (Respondent) Case Number: 08-04357 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimants Steven Edelson ("S. Edelson") and Ellen Edelson ("E. Edelson"), hereinafter collectively refer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Collins Capital LLC (Claimant) vs. The Bear Stearns Companies Inc., J.P. Morgan Chase & Co., Bear Stearns & Co., Inc., JP Morgan Securities Inc., Bear Stearns Asset Management, Inc., Bear Stearns Asset Backed Securities Fund, L.P., Bear Stearns Securities Clearing Corp., JP Morgan Clearing Corp., and Jeffrey Christopher Samsen (Respondents) Case Number: 09-04454 Hearing Site: New Yo

Award FINRA Disputa Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 09-04773 The Rhode Seidler Revocable Trust U/A DTD 09/30/06, by Arthur A. Rosenberg as Trustee Name of Respondent Hearina Site: Los Anoeies. California Wachovia Securities, Inc., n/k/a Wells Fargo Advisors LLC Nature of Dispute; Customer vs. Member REPRESENTATION OF PARTIES Claimant, The Rhode Seidler Revocable Tmst U/A DTD 09/30/06,