Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Eric Anderson Respondents Culium & Burks Securities, Inc. Robert J. Clark Case Number: 10-01597 Hearing Site: Los Angeles, California Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Eric Anderson, hereinafter referred to as "Claimant": Robert J. McKennon, Esq., McKennon Schindler LLP, Newport Beach, California

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02359 UBS Financial Services Inc. Respondent Hearing Site: Los Angeles, California David Edward Lamarche Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Services Inc., hereinafter referred to as "UBSFS" or "Claimant": Devin A. Donohue, Esq., Palmer, Lombard! & Donohue LLP, Los Angeles, Cal

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Raymond James Financial Services, Inc. Name of the Respondent John Andrews Case Number: 10-01080 Hearing Site: Washington. DC Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Claimant Raymond James Financial Services, Inc., hereinafter referred to as "Claimant:" Cliff G. Anderson, Esq., Michaels, Ward & Rabinovltz. L

AWARD/ FINRA DISPUTE RESOLUTION CASE: 10-01585 Claire M. Layton (Claimant) vs. William Clarke Moynihan and Wells Fargo Advisors, LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sparta, NJ. For Respondents appeared Nuviah Shirazi, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: March 31, 2010 CASE SUMMARY: Claimant asserted the following cause of action

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01469 Joseph Vitale and James Vitale (Claimants) vs. Mercer Capital Ltd. (Respondent) REPRESENTATION OF PARTIES: ~" Claimants appeared pro se, Auburn, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Customers vs. Member DATE FILED: March 25, 2010 CASE SUMMARY: Claimants asserted the following cause of action: failure to return funds invested for the purpose of purchasing an Ini

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00564 Oppenheimer & Co. Inc. (Claimant) vs. Brian M. McLoughlin (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared John T. McGuire, Esq., Oppenheimer & Co. Inc., New York, NY. Respondent appeared pro se, Manhattan Beach, CA . NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 4, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of stabilization agreement; b

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06971 Vanguard Marketing Corporation (Claimant) vs. Robert S. Hamburger and Gloria A. Hamburger (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Jennifer F. Hinderiiter, Esq., Vanguard Marketing Corporation, Wayne, PA. For Respondent Robert S. Hamburger appeared Wendy deBord, Crystal Lake, IL. Respondent Gloria Hamburger did not appear in this matter. NATURE OF DISPUTE: Member v. Customers DAT

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alexis Miron (Claimant) vs. CIBC Worid Markets Corp. and Oppenheimer & Co., Inc. (Respondents) Case Number: 08-04310 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members REPRESENTATION OF PARTIES Claimant Alexis Miron hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle & Robinson, L.L.P., New York, NY. Respondent CIBC Worid

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ed Coniin & Associates, LLC vs. Case Number: 09-00988 Hearing Site: Mirineapolis, IVIinnesota Name of Respondent/Third-Partv Claimant Merrill Lynch, Pierce, Fanner & Smith, Inc. • 'vs. • • • Name of Third-Party Respondent Kenneth J. Marchiol i^ATUREQFTHEDiSPUTE Customer vs. Member V. Associated Person REPRESEIUTATIQW OF PARTIES Ed

Award FINRA Dispute Resolution Iri the Matter of the Arbitration Between: Name of the Claimant ' Case Number: 09-03645 Jerome S. Mayersal^ Family Limited Partnership Name of the Respondent Hearing Site: Fort Lauderdale, Florida Lightspeed Trading, LLC Nature of the Dispute: Customer vs. IVIember. REPRESENTATION OF PARTIES For the Jerome 8. Mayersak Family Limited Partnership ("Mayersak"), hereinafter referred to as "Claimant:" Jerome