AWARD FINRA DISPUTE RESOLUTION CASE: 10-01889 Andrew Y. Wasa and Henry J. Ferry, Jr. (Claimants) vs. Securities America, Inc., and Sandra Snyder (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Pamela D. Ferry, Esq., Encinitas, CA. For Respondents appeared Elizabeth Lowery, Esq., Hermosa Beach, CA and Kelly R. Davis, Esq., Securities America, Inc., La Vista, NE. NATURE OF DISPUTE: Associated Persons v. Member and Associated Person DATE

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01367 John Campanelli and Venus Campanelli (Claimants) vs. Ameriprise Financial Services, Inc., and Joseph G. Delia Monica, Jr. (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Laurence M. Landsman, Esq., Block & Landsman, Chicago, IL. For Respondents appeared Edward A. Walton, Esq., Ameriprise Financial Services, Inc., Detroit, Ml. NATURE OF DISPUTE: Customers v. Member and Associated Person DAT

Award FiNIV^ Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-00948 Jean Clevelahd Respondent Hearing Site: Portland, Oregon Edward Jones Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Jean Cleveland, hereinafter referred to as "Claimant": Franl^lin Jason Seibert, Esq., F.J. Seibert, LLC - A Law Office, Salem, Oregon. Respondent, Edward Jones, hereinafter referred to as "Res

^ Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-01515 Wachovia Securities, LLC Respondent Hearing Site: Phoenix, Arizona Tracy Allen Wildeman Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimanf: Ronald P. Kane. Esq., Kane & Fischer, Ltd., Chicago, Illinois. Respondent, Tracy Allen Wildem

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Keith Brodkorb vs. Names of Respondents Wachovia Securities, LLC, Prudential Securities, Inc., and Joseph B. Kelly Case Number: 10-00761 Hearing Site: Detroit. Michigan NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Keith Brodkori3 ("Claimant") was represented by Meghan W. Cassidy, Esq., and Andrew

Case Number: 10-02707 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Member VS. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimanr or "UBS") was represented by Lauren R. Fox, Esq.. Alonso, Andalkar & Kahn, PC, New Yori< , New Yori< . Junius V. Beaver, III ("Respondent' or "Beaver") did not appear. The statement of Claim was filed on or about June 7,2010. The Submission Agreement of Claimant, UBS Financial Services

AWARD FINRA DIsptrie Resolution In the Matter of the Arbitration Between: Names of Claimants Vernon R. Pari< s and Gay R. Paries vs. Case Number: 09-05881 Hearing Site: Dallas, Texas Name of Respondent TD Ameritrade, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Vernon R. Paries and Gay R. Paries, hereinafter collectively referred to as "Claimants," appeared pro se. TD Ameritrade, Inc. ("Respondent") was

AWARD FINRA Dispute Resolution In the Matter of the Aribitration Between: Name of Claimant Mary L. Johns vs. Names of Respondents J. Ken McVay, Brian McVay, and April D. Pruitt Case Number 09-05759 Hearing Site: Pittsburgh, Pennsylvania MATURE OF THE DISPUTE Customer vs. Associated Persons REPREggNTATtQH OF PARTII58 Mary L. Johns C'Claimanf) was represented by Robert Johns. J. Ken McVay ("J.K. McVay"). Brian McVay ("B. McVay")

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants James R. Beach and Marilyn S. Beach vs. Names of Respondents Bentley-Lawrence Securities, Inc., Mark Francis Harper. Mesirow Financial, Inc., and Richard L. Coskey Case Number: 08-03380 Hearing Site: Southfield, Michigan MATURE OF THE DISPUTE Customers vs. Members and Associated Persons REPRESENTATIQM OF PARTIES James R. Beach and Maril

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Opitz (Claimant) vs. Ameriprise Financial Services, Inc., Christopher Douglas Myers, and Myers and Lentz (Respondents) Case Number: 08-02822 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member, Associated Person, and Non-Member. REPRESENTATION OF PARTIES Claimant Joseph Opitz hereinafter referred to as "Claimant": Thomas A. Blackburn, Esq.,