Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-05541 William W. Steckbauer, Trustee, Steckbauer Weinhart Jaffe. LLP 401 (K) Profit Sharing Plan, aka Shumaker Steckbauer Weinhart Dtd 1-1-98 fbo Dawn Couison; and Dawn M. Couison Name of Respondents Hearina Site: Los Angeles, Califomia Karen Lyn Rosen The Rosen Group Nature of Dispute: Customers vs. Non-Members REPRESENT

Award FINi^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 03-02421 Oppenheimer & Co. Name of Respondents Hearina Site: Los Angeles. Califomia Citigroup Global Maricets, Inc. f/k/a Salomon Smith Barney, Inc. Andrew B. Basch Howard A. Blite Nature of Dispute: Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., hereinafter referred to as "Oppenheimer"

AWARD FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC vs. CaseNumber: 09-06132 Hearing Site: St. Louis, Missouri Name of Respondent Robert D. Miller, Jr. NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATIQN QF PARTIES Wells Fargo Advisore, LLC flkia Wachovia Securities, LLC ("Wells Fargo" or "Claimant") was represented by Rona

Award FINf^ Dispute Resolution In the Matter of the Arbitration Between: Name of tiie Claimant Case Number: 08-05016 Alison Gordon, as Successor Trustee of the Surviving Spouse's Tmst and Family Bypass Trust oif the Gordon Family Tmsts and Gordon Investment Trust Name of ttie Respondents Hearing Site: Los Angeles, Califomia PFS Investments Inc. Grace St. Clair Travelers Life and Annuity Company Primerica Financial Seivlces Insurance Marketing

Award FINRA Dispute Resolution In the Matter of the Arbitratidn Between: Claimant Curtis Martin Hill Respondent RBC Wealth Management, a divisbn of RBC Capital Maricets Corporation, f/k/a RBC Dain Rauscher Inc. Counter-Claimanf RBC Wealth Management, a division of RBC Capital Mari< ets Corporation, f/k/a RBC Dain Rauscher Inc. Counter-Respondent Curtis Martin Hill CaseNumber 09-04007 Hearing Site: Los Angeles. Califomia Nat

Awarci FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Lawrence R. Gilmore Respondents Michael G. Eathorne Capital Financial Services, Inc. Scott T. Brandt Lighthouse Capital Corporation Provident Asset Management, LLC Brendan W. Coughlin Henry D. Harrison Counter-Claimants Capital Financial Services. Inc. Michael G. Eathorne Counter-Respondent Lawrence R. Gilmore Case Number: 09-06153 H

Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Name of Claimant Case Number: 10-03894 UBS Financial Services, Inc. Name of Respondent Hearing Site: Portland, Oregon Gilbert B. Pugliano Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc., hereinafter referred to as "UBS" or "Claimant": Devin A. Donohue, Esq., Palmer, Lombardi & Donohue, LLP, Los Angeles, Cal

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George H. Comeau (Claimant) v. Oppenheimer & Co. Inc. and Gary Chiate (Respondents) Case Number: 09-05038 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant George H. Comeau, hereinafter referred to as "Claimant": Edward H. Glenn, Jr., Esq., Zamansky & Associates, LLC, New York, NY. Claimant previ

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03031 Robert L. Seiwell (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Coopersburg, PA. For Respondent appeared Erin K. Fair, FMR LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 28, 2010 CASE SUMMARY: Claimant asserted the following causes of action: negligence and failure to execute. The causes of action relate to PVX

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jan M. Arnett, MD (Claimant) vs. J.P. Morgan Securities, Inc., as successor in interest to Bear Stearns Clearing Corp., Lloyd Scott & Valenti, Ltd., Western Securities Clearing Corp., and Robert William Kramer (Respondents) Case Number: 09-04760 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant