AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Zachary S. Sech vs. Case Number: 09-01374 Hearing Site: Cincinnati, Ohio Names of Respondents / Counter-Claimants Merrill Lynch, Pierce, Fenner & Smith, Inc., Joseph H. Evelo, David L. Singer, and Linneli R. Sullivan and Names of Third-Party Claimants Merrill Lynch, Pierce, Fenner & Smith, Inc., Joseph H. Evelo, David L.

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03077 Patricia Tynan Chapman, Individually and as Trustee of the Patricia Tynan Chapman Trust UAD 9/26/90 Name of the Respondent Hearing Site: San Francisco, California Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Patricia Tynan Chapman, Individually and as Trustee o

Award FINRA Dispute Resolution In tiie Matter of ttie Arbitration Between: Name of Claimante Case Number: 09-00609 Moshe Shram Hanna Shram Name of Respondent Hearing Site: Los Angeles, California IDS Capitel Corp. Nature of Dispute: Customere vs. Memt>er REPRESENTATION OF PARTIES Claimante Moshe Shram and Hanna Shram, hereinafter collectively referred to as "Claimante": Jonatiian Schwartz. Esq.. Law Offices of Jonatiian Schwartz, Marina D

Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Name of Claimant Case Number 09-00387 Charies Schwab & Company, Inc. Name of Respondent Hearing Site: San Francisco, Califomia Trevor Rodrigues Templar Nature of Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant, Charies Schwab & Company, Inc.. hereinafter referred to as "Schwab" or "Claimant": Richard A. Karoly, Esq., Charies Schwab & Company. Inc.. San F

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00631 Thomas A. Trax Name of the Respondent Hearina Site: San Diego, California Westfin Securities Corporation Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Thomas A. Trax, hereinafter referred to as "Claimant": Jeffrey S. Kob, Esq., Jeffrey S. Kob, APC, Coronado, Califomia. Respondent, We

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Eddie O. Creasy, Individually and as Trustee of the Eddie and Virginia Creasy Trust U/A DTD 05/05/2008 and on behalf of the Eddie O. Creasy IRA; Virginia S. Creasy Individually and as Trustee of the Eddie and Virginia Creasy Trust U/A DTD 05/05/2008 and on behalf of the Virginia Creasy IRA Names of the Respondents Merrill Lynch, Pierce, Fenner

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06390 Citigroup Global Markets, Inc. Name of the Respondent Hearing Site: Tampa, FL Kenneth T. Williamson, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. ("Citigroup"), hereinafter referred to as "Claimant": Ross Carmel, Esq., Alonso, Andalkar & Kahn, P.C, New York

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02722 Scott Shenwood Names of the Respondents Hearing Site: Miami, Florida Investacorp, Inc. Ladenburg Thalmann Financial Services, Inc. Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES For Scott Sherwood, hereinafter referred to as "Claimant": Jerome A. Pivnik, Esq., Pivnik & Nitsche,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02864 Gordon W. Leech and Robbie L. Leech, Joint Owners (Claimants) vs. Darin James Pierce and Commonwealth Financial Network (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared J. Michael Jordan, Esq., Nexsen Pruet LLC, Hilton Head, SC. For Respondents appeared Joe Tully, Esq., Commonwealth Financial Network, Waltham, MA. NATURE OF DISPUTE: Customers v. Associated Person and Member DATE FILED: June

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00926 Alice E. Barnes (Claimant) vs. John Mills Bangit, Laura Anne Tedball, and William Edward Knoble (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Anita S. Ferrara, Barhamsville, VA. For Respondents appeared Jeremy S. Hyndman, Esq., Locke, Lord, Bissell & Liddell LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Associated Persons DATE FILED: March 1, 2010 CASE SUMMARY: Claimant asserted th