AWARD FINRA DISPUTE RESOLUTION CASE: 10-01894 UBS Financial Services Inc. ("Claimanf) vs. Francisco (Frank) Alberto Diaz ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Richard J. Maloney, Esq. and Molly J. Tatman, Esq., UBS Financial Services Inc.. Weehawken, New Jersey until on or about July 29, 2010. Thereafter, Brian S. Hormozi. Esq. and Steve Pherson, Esq. of Schuyler, Roche & Crisham, P.C., Chicago, Illinois. Respondent did not appear.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06961 Wells Fargo Advisors, LLC f/k/a Wachovia Securities LLC Name of the Respondent Hearing Site: Boca Raton, Florida Jeffrey Taylor Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC f/k/a Wachovia Securities LLC, hereinafter referred to as "Claimant": Michael S. Colombo,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 10-02457 Merrill Lynch, Pierce, Fenner & Smith Incorporated Respondent Hearino Site: Portland, Oregon Matthew James Pulsipher Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Merrill Lynch" or "Claimant": Diane C. Fischer, Esq.. Kane

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stuart P. Suskind (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 10-00214 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Stuart P. Suskind hereinafter referred to as "Claimant" appeared pro se. Respondent Citigroup Global Markets, Inc., hereinafter referred to as "Respondent": Raul Sanchez,

Award Data Award: $17,658.16 Pre-award interest: at the rate of 4.25% per annum from November 1, 2009 to October 14,2010 Post-award Interest: at the rate of 12% per annum, at the Massachusetts statutory rate, from the date of the Award until paid Attorneys' Fees: $0.00 Costs: $1,050.00 Other: $0.00 AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the Issues submitted for determination as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John Szurko and Pamela Szurko (Claimants) vs. Morgan Stanley Smith Barney (Respondent) Case Number: 09-05365 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES John Szurko and Pamela Szurko, hereinafter collectively referred to as "Claimants": Marc S. Gottlieb, Esq., Law Offices of Marc S. Gottlieb, New York, NY. Morgan St

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Steven L. Weisberg, Steven L. Weisberg Rev.Trust Steven L. Weisberg TTEE DTD 5/14/01, IRA FBO Steven L. Weisberg SunAmerica Trust Co. Cust. Name of the Respondent John Robert Schwartz Royal Alliance Associates, Inc. and Retirement Advisory Services, Corp, Case Number: 09-02693 Hearing Site: Boca Raton, Florida Nature of the Dispute: Cus

Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Name of the Claimant Case Number: 09-00258 Moeller Family Charitable Remainder Uni Trust #1 Name of the Respondent Hearing Site: Little Rock, Arkansas Arvest Investments, Inc. d/b/a Arvest Asset Management Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Moeller Family Charitable Remainder Uni Trust #1, hereinafter referred to as "Claima

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01614 Patricia Quirk (Claimant) vs. Ameritas Investment Corp. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared David A. Carter, Esq., David A. Carter, P.A., Boca Raton, FL and Daniel M. Stolz, Esq., Wasserman, Jurista & Stolz, Millburn, NJ. For Respondent appeared David Williams, Esq., Ameritas Investment Corp., Lincoln, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 6, 2010 CASE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Citigroup Global Markets, Inc. Respondent AvelIno Cortina III Counter-Claimant Avelino Cortina III Counter-Respondent Citigroup Global Markets, Inc. Case Number: 09-00492 Hearing Site: San Diego, California Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Citig