Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-02428 Willard Lee Rumley, III Albert Alexander Montague Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Willard Lee Rumley, ill and Albert Alexander Montague, hereinafter collectively referred t

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03048 Banc of America Investment Services, Inc. (n/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated) Name of the Respondent Hearing Site: Orlando, Florida Christopher M. Squires Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc. (n/k/a Merri

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Rothaar (Claimant) vs. Standard Credit Securities Inc. and Standard Credit Group, LLC (Respondents) Case Number: 09-03283 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-member. REPRESENTATION OF PARTIES Claimant Richard Rothaar "Claimant": David B. Wechsler, Esq., Wechsler & Cohen, LLP, New York, NY. Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-02418 Charies C. Patton Respondent Hearino Site: Los Angeles. Califomia Wells Fargo Investments, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Charles C. Patton, hereinafter referred to as "Claimant": Robert E. Prussing, Esq., Santa Barisara, Califomia. Respondent, Wells Fargo Investments, LLC, hereinafter

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01963 Morgan Stanley Smith Barney LLC vs. Brent J. Hawk REPRESENTATION OF PARTIES: For Claimant: Mauricio S. Beugelmans, Esq., Cole-Frieman & Beugelmans LLP, New York, New York. For Respondent: John L. Senft, Esq., Senft Law Firm, York, Pennsylvania. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 26. 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. Cl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-02486 Robert F. Brink ResDondents Hearino Site: Los Angeles, California BFT Financial Group, LLC Jessica Carolyn Cutrera Counter-Claimant Jessica Carolyn Cutrera Counter-ResDondent Robert F. Brink Nature of Dispute: Associated Person vs. Member and Associated Person Associated Person vs. Associated Person REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Betsy Van Hees Respondent Cowen & Company, LLC Counter-Claimant Cowen & Company, LLC Counter-Respondent Betsy Van Hees Case Number 08-04521 Hearino Site: San Francisco, Califomia Nature of the Dispute: Associated Person vs. Member Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Betsy Van Hees. hereinafter refen-ed to as "Claimant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Baltis (Claimant) vs. Morgan Stanley Smith Barney, LLC, as a successor in name, Interest and title to Morgan Stanley & Co., Incorporated and Citigroup Global Markets, Inc., and George C. Danes (Respondents) Case Number: 09-05638 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Peter Baltis h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-02336 Pershing LLC Respondents Hearing Site: San Francisco. CA Crocker Securities LLC Lisa Mello Kevin Martin Douglas Green Cross-Claimants/Counter-Claimants Crocker Securities LLC Lisa Mello Kevin Martin Cross-Respondent Douglas Green Counter-Respondent Pershing LLC Nature of the Dispute: Member vs. Member and Ass

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of the Claimant Case Number. 09-04864 Steve Jim Miura Name of the Respondents Hearing Site: San Francisco, Califomia Charies Schwab & Co., Inc. Kimon P. DaifotIs Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Steve Jim Miura, hereinafter refen-ed to as Xlaimant": Thomas D. Mauriello, Esq., Mauriello Law Firm