AWARD FINRA DISPUTE RESOLUTION CASE: 10-01682 Lyons & Associates, a partnership and Allan S. Lyons (Claimants) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Allan S. Lyons, Palm Beach Gardens, FL. For Respondent appeared Meredith Faro, Esq., Fidelity Investment Institutional Services, Boston, MA. NATURE OF DISPUTE: Customers v. Member DATE FILED: April 12, 2010 CASE SUMMARY: Claimants asserted

Award FiNRA Dispute Resolution in the Matter of the Arbitration Between: IVIiriam Selsky (Claimant) vs. HSBC Securities (USA) Inc. and Michael Valnotti (Respondents) Case Number: 10-01550 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Miriam Selsky hereinafter referred to as "Claimant": Robert Rabinowitz, Esq., Becker & Poliakoff, LLP, Red Bank, NJ. Respondents

Award HNRA Dispute Resolution In the Matter of the Arisltratlon Between: Claimants Case Number 08-02047 Hasong J. Pak and Jinyung Pak as Joint Tenants with Right of Survivorship Hasong J. Pak, as Attomey in Fact for Rtehard Ng Respondents Hearing Site: Portland. Oregon Paulson Investment Company, Inc. Jung Han Kim, a.k.a. "Jay Kim" Vision Securities Inc. GlobalVest Group, Inc. n/k/a GLB Trading Cross-Claimants Vision Securitie

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Janney Montgomery Scott LLC (Claimant) vs. Craig Rappaport (Respondent) Case Number: 09-06136 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Janney Montgomery Scott LLC, hereinafter referred to as "Claimant": William E. Mahoney, Jr., Esq. and Amy Sparrow, Esq., Stradley, Ronan, Stevens & Young, Philadelphia

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Monty D. Yokel, as Trustee of the Yokel Charitable Lead Annuity Trust and as Trustee of the Robert B. Yokel Charitable Lead Trust, and Ken Yokel (Claimants) vs. J.J.B. Hilliard, W.L. Lyons, LLC, and David Stanley Shelton (Respondents) vs. SunTrust Bank, Inc. and SunTrust Investment Services, Inc. (Third Party Respondents) Case Number: 09-04937 SITUS: New York, New York NATURE OF DIS

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lee Maimon and Barbara Maimon (Claimants) vs. Merrill Lynch Pierce Fenner & Smith, Inc. (Respondent) Case Number: 09-00978 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Lee Maimon and Barbara Maimon hereinafter collectively referred to as "Claimants": Joel "Feldman, Esq., Anapol, Schwartz, Weiss, Cohan,

Award FINRA Dispute Resolution In tiie Matter of tiie Aribitration Between: Name of Claimant Case Number 10-00267 Gary Maag Name of Respondents Hearing Site: Los Angeles, California Charies Schwab & Co., Inc. Kimon Peter Daifotis Randall Wayne Mark Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Gary Maag, hereinafter referred to as "Claimant": InA/in Stein, Investors Recovery Service,

Award RNRA Dispute Resolution In tiie Matter of the Arbttration Between: Name of Claimant Case Number 09-05801 Robert J. Bridge Name of Respondents Hearina Stte: San Diego, Califomia Merrill Lynch, Pierce, Fenner & Smith Incorporated John E. Elltott Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Robert J. Bridge, hereinafter referred to as "Ciaimanf: Steven M. Green, Esq., The Law Finn

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ruseil E. Erkkila and Gloria Erkkila vs. Names of Respondents Wells Fargo Advisors, LLC, and Timothy W. Baltzer Case Number: 09-05480 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Ruseil E. ErkkWa and Gloria Erkkila ("Claimants") were represented by Daniel D. Hill

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Douglas E. Bryant and Fabrice W. Haddad (Claimants) vs. The Royal Bank of Scotland and RBS Greenwich Capital (Respondents) Case Number: 09-02849 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Non-Member and Member. REPRESENTATION OF PARTIES Claimants Douglas E. Bryant ("Bryant") and Fabrice W. Haddad ("Haddad"), hereinafter collectively referred t