Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05407 Citigroup Global Markets, Inc. Name of the Respondent Hearing Site: Richmond, VA Joshua Cuff Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. ("Citigroup"), hereinafter referred to as "Claimant": Justin A. Goldberg, Esq., Alonso, Andalkar & Kahn, P.C, New York, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 10-03221 Wells Fargo Advisors Financial Networic, LLC f/k/a Wachovia Securities Financial Networic, LLC Name of Respondent Hearing Site: San Francisco. Califomia Donald Alan Wilson Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors Financial Networic, LLC f/k/a Wachovia Securities

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-06443 Jeanne Johnson Name of Respondents Hearing Site: Los Angeles. Califomia UBS Financial Services, inc. Wesley Wong Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Jeanne Johnson, hereinafter referred to as "Claimant": Glenn J. Campbell, Esq., Ventura Law Group, Ventura, Califomia.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Lawrence B. Orlick, individually and as trustee of the Orlick-Donovan Family Trust and Kathleen J. Donovan, co-trustee of the Orlick-Donovan Family Trust Case Number: 08-04257 Name of Respondents Charles Schwab & Co., Inc. Brian John Frew Hearing Site: San Francisco, California Nature of Dispute: Customers vs. Member and Associated Person RE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 09-01371 MF Global Inc. Respondent/Counter-Claimant Hearing Site: Los Angeles, California Sohan Dua Nature of the Dispute: Member v. Customer Customer v. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, MF Global Inc., hereinafter referred to as "Claimant": John W. Cotton, Esq., Cotton & Gundzik LLP, Los Angeles,

AWARD FINRA Diapute Reaolution In the Matter of the Aribitration Between: Name of Claimant Beveriy Coryn, Individually and on Behalf of her IRAs ^3 Case Number: 09-05681 Hearing Site: Indianapolis, Indiana Name of Respondent Ogilvie Security Advisors Corporation '^A'^tP^QPTHg DISPUTE Customer vs. Member Rf PRgSENTATIQN OF PARTIES Beverly Coryri, Individually and on Behalf of her IRAs ("Claimant") was represented by Majk E. Maddox, Esq

AWARD FINRA Diaputa Reaolutlon In the Matter of the Arbitration Between: Name of Claimant Mari< Cerny, as Trustee of the Jerome F. Cerny Revocable Trust and the Blance Mary Cerny Revocable Trust vs. Case Number: 09-06651 Hearing Site: Chicago, Illinois Names of Respondents Citigroup Global Markets, Inc. and UBS Financial Services, Inc. NATURE OF THE DISPUTE Customer VS. Members REPRESENTATIQN OF PARTIES Mari< Cerny, As Trustee of

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Raymond James & Associates, Inc. vs. Name of Respondent / Counter-Claimant Steve Nolen Case Number: 09-05303 Hearing Site: Indianapolis, Indiana NATURE OF THE DiSPUTE Member vs. Associated Person REPRESENTATIQN OF PARTIES Raymond James & Associates, Inc. ("Claimant") was represented by Keili Bullington, Esq., The Raymond Jame

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimant Case Number: 09-02704 Wachovia Securities, LLC Respondent Hearina Site: Los Angeles. California Marie Joseph Robles Counter-Claimant Mark Joseph Robles Counter-Respondent Wachovia Securities, LLC Nature of Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wachovia Securities

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05790 Global Wealth Care Group, L.L.C. Name of the Respondent Hearing Site: New Orleans, Louisiana Craig C. Babineaux Nature of the Dispute: Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For Global Wealth Care Group, L.L.C, hereinafter referred to as "Claimant": Bruce V. Schewe, Esq., Phelps Dunbar LLP, NewOrieans, Louis