Avifard FINRA Dispute Resolution In file Matter of the Arbitration Between: Name of Claimant Case Number: 09-02584 Kay Family Revocable Tmst UAD 02/07/90 FBO Lenore Bleadon Under Tmst A Name of Respondent Hearing Site: San Francisco, Califomia Stone & Youngberg LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Kay Family Revocable Tmst UAD 02/07/90 FBO Lenore Bleadon Under Tmst A, hereinafter refenred to as "C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Services, Inc. vs. Case Number: 09-01613 Hearing Site: Detroit, Michigan Name of Respondent Edward F. Walterhouse NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATiQN OF PARTIES UBS Financial Services, Inc. ("Claimant") was represented by Kevin B. Walker, Esq. and Joshua R. Pini, Esq., McElroy, Deutsch, Mulvaney & Carpe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05848 Merrill Lynch, Pierce, Fenner & Smith Incorporated ResDondent Hearina Site: Phoenix, Arizona Jeffrey Michael Stanley Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith incorporated, hereinafter referred to as "Claimant": Rachael Luken Carp, Esq., Rubin, Fortunate & H

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimants Case Number: 09-01338 Ronald S. Beard and Karin G. Paridee-Beard, individually and as trustees of the Beard Living Trust dtd 3/30/1999 Name of the Respondent Hearina Site: Los Angeles, California Citigroup Global Markets Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Ronald S. Beard and Karin G. Paridee-Be

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05470 Wedbush Morgan Securities, Inc. Name of Respondent Hearing Site: Portland, Oregon Knut Ferdinand Eie Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wedbush Morgan Securities, Inc., hereinafter referred to as "Claimant" or "WMS": Charies LaChaussee, Esq., Wedbush Morgan Securities, Inc., Los Angel

AWARD FINRA Diaputa Resolution In the Matter of the Arbitration Between: Name of Claimant ASA Tax Advantage Relative Value Fund, LP vs. Case Number: 09-04484 Hearing Site: Minneapolis. Minnesota Name of Respondent National Financial Services. LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATIQN OF PARTIES ASA Tax Advantage Relative Value Fund, LP ("Claimant" or "The Fund") was represented by Geoffrey P. Jarpe. Esq., Winthrop &

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert Bryant vs. Case Number: 10-00033 Hearing Site: Des Moines, Iowa Name of Respondent Morgan Stanley & Co., Incorporated NATURE OF THE DISPUTE Customer vs. Member REPRESENTATIQN OF PARTIES Robert Bryant ("Claimant") was represented by Gail E. Boiiver, Esq., Boliver & Bidwell. Marshalltown, Iowa. Morgan Stanley & Co., Incorporated ("Respon

STIPULATED AWARD FINRA Diaputa Reaolutlon In the Matter of the Arbitration Between: Names of Claimants Mary Kay Adams IRA, Dennis L. Adams (DECD) IRA Mary Kay Adams (BENEF). and Mary Adams Living Trust-Mary K Adams TTEE vs. Names of Respondents Oppenheimer & Co., Inc. and Susan Louise Rose Case Number: 09-05081 Hearing Site: Detroit, Michigan NATURg OF TM5 PISPUT^ Customers vs. Member and Associated Person REPRESENTATION OF PARTIE

AWARD FINRA Diaputa Resolution In the Matter of the Arbitration Between: Name of Claimant Ulrich B. Holeschovsky vs. Case Number: 10-01366 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent E*Trade Securities, LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Ulrich B. Holeschovsky ("Claimant") was represented by Robert W, Goehring. Esq.. Robert W. Goehring & Associates, Pittsburgh, Pennsylvania. E*Tra

AWARD FiNRA Dispute Resoiutlon In the Matter of the Arbitration Between: Names of Claimants/Counter-Respondents Russell E. Ginn, Beverly J. Ginn. and Their Affiliated Entities, GInnwey Investments, LP and CVWT, LLP vs. Case Number: 09-04485 l-learing Site: IHouston, Texas Names of Respondents/Counter-Claimants Sanford C. Bernstein & Co., LLC, Alliance Bemstein. LP, and Bernstein Global Wealth Management NATURE OF THE DISPUTE Custo