AWARD FINRA DISPUTE RESOLUTION CASE: 10-01634 Robyn Brown (Claimant) vs. Dustin K. Jackson, UVest Financial Services Group, Inc., Jackson National Life Distributors LLC, and Jackson National Life Insurance Co. (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared G. Andrew Marino, Esq., Wichita, KS. For Respondents Dustin K. Jackson and UVest Financial Services Group, Inc., appeared Sara Davis, LPL Financial Corporation, Boston, MA. For Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James Olinkiewicz (Clainnant) vs. UBS Financial Services, Inc., and William Miller (Respondents) Case Number: 09-04491 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant James Olinkiewicz hereinafter referred to as "Claimant": Brett D. Zinner, Esq., Law Offices of Brett D. Zinner, P.C, New York, N

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Steven Harris (Claimant) vs. RBC Capital Markets Corporation and J.B. Hanauer & Co. (Respondents) Case Number: 10-00429 Hearing Site: Newark. New Jersey Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Estate of Steven Harris, hereinafter referred to as "Claimant": Michael J. Sullivan, Esq., Coughlin Duffy LLP, Morristown, NJ.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01661 Marrell R. and Wallis T. Greutman Trust and its Trustees IVIarrell Greutman and Terry Greutman (Claimants) vs. Ameriprise Financial Services, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Kirk Daniel Mensonides, Esq., Seattle, WA. For Respondent appeared Edward A. Walton, Esq., Ameriprise Financial Services, Inc., Detroit, M\. NATURE OF DISPUTE: Customers v. Member DATE FILED: April

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-05807 Andrew N. Becker Donna R. Fisher Andrew N. Becker Simplified Plan Respondent Hearing Site: Seattle, Washington E*Trade Securities LLC Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Andrew N. Becker, Donna R. Fisher, and Andrew N. Becker Simplified Plan, hereinafter collectively referred to as "Clai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants William Hahn Jeane Hahn Respondents Valmark Securities, Inc. David Scott Coles Counter-Claimants Valmark Securities, Inc. David Scott Coles Counter-ResDondents William Hahn Jeane Hahn Case Number: 09-05114 Hearing Site: Los Angeles, California Nature of the Dispute: Customers vs. Member and Associated Person Member and Associated Per

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants James L. (Jimmy) Snow Rayford (Ray) Dunnam Andrew Jackie Elly, and Gary L. Kosztur Names of the Respondents Prudential Equity Group, LLC, ditigroup Global Markets, Inc. and William Ezra Brownel Case Number: 07-01704 Hearing Site: Jackson, Mississippi Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PAR

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Steiner (Claimant) v. UBS Financial Services Inc. (Respondent) Case Number: 09-04396 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant David Steiner hereinafter referred to as "Claimant": Matthew W. Woodruff, Esq., Rich & Intelisano, LLP, New York, NY. Respondent UBS Financial Services Inc., hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06085 Dushaune Evans Names of the Respondents Hearing Site: Washington. DC Investors Capital Corp. and Frederick Vonte Judkins Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTIES For Dushaune Evans, hereinafter referred to as "Claimant:" Brian C. Parker, Esq., Parker, Dumler & Kiely, LLP, Ba

/• Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 09-04699 Paigow II, LLC Jill Trade, LLC Respondent Hearino Site: Las Vegas, Nevada Citigroup Global Markets, Inc. Nature of Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Paigow II, LLC ("Paigow") arid Jill Trade, LLC ("Jill"), hereinafter collectively referred to as "Claimants": Brian Kennedy, Esq., Law Office of Bria