Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 09-06580 Thomas G. Tripp Name of the Respondent Hearing Site: Portland, Oregon UBS Financial Services, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Thomas G. Tripp, hereinafter referred to as "Claimant": B. Scott Whipple, Esq., Whipple & Duyck, P.C., Portland, Oregon. Respondent, UBS F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number. 09-05253 The Estate of Lawrence D. Bums, By Its Executor, Epifania B. Burns Respondent Hearino Site: Las Vegas, Nevada Mid-Ohio Securities Corp. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, The Estate of Lawrence D. Burns, By Its Executor, Epifania B. Burns, hereinafter referred to as "Claimant": Bruce Oakes, Es

Award FINRA Dispute Resolution In the IVIatter of the Arbitration Between: Obsidian Financial Group, LLC (Claimant) v. Vincent D. Bentivegna (Respondent) Case Number: 08-01373 iHearinq Site: New York, New York Nature of the Dispute: IVIember vs. Associated Person. REPRESENTATION OF PARTIES Claimant Obsidian FInanciai Group, LLC hereinafter referred to as "Claimant": Brian H. Reis, Esq., Law Office of Brian H. Reis, New York, NY. Previously represented by

AWARD FINRA Disputa Resolution In the Matter of the Arbitration Between: Name of Clalmants/Counter-Resoondents David A. Sherman, Individually and David A. Sherman Living Trust, by David A. Sherman Trustee vs. Case Number: 09-03993 Hearing Site: Chicago, Illinois Name of Resoondent/Counter-Claimant Sanford C. Bernstein & Co., LLC NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES David A. Sherman, Individually and

AWARD FINRA Dispute Resolution In the Matter off the Arbitration Between: IMames of Claimants John Patience, Individually and as Trustee of The John Patience Tmst. dated 6/23/93, and The John Patience Taist vs. Names of Respondents Jeffries & Company, Inc., and Jeffries Investment Advisers, LLC Case Number: 09-02188 Hearing Site: Chicago, Illinois ^ATyRBflFTH^PiSPyTE Customers vs. Member and Non-Member REPiESEMTATlQM QE, PARTIES

STIPULATED AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Lyn L. Ashlock vs. Case Number: 09-02108 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Arvest Asset Management and Amy Cady MATURE QF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATIOM OF PARTIES Lyn L. Ashlock ("Claimant") was represented by Michael C. Woodward, Esq., Woodward Law Firm, Tulsa, Oklaho

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lazard Asset Management LLC and Lazard Asset Management Securities LLC (Claimants) vs. Kris T. Haber (Respondent) Case Number: 09-04529 Hearing Site: New York, New York Nature of the Dispute: Non-Member and Member vs. Associated Person REPRESENTATION OF PARTIES Claimants Lazard Asset Management LLC ("Lazard") and Lazard Asset Management Securities LLC ("Lazard Securities"), here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alan J. Biren and John W. Tucker (Claimants) vs. Banc of America Investment Services, Inc. (Respondent) Case Number: 09-05044 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Alan J. Biren ("Biren") and John W. Tucker "(Tucker"), hereinafter collectively referred to as "Claimants": Bruce D. Oakes, Esq., Oakes & F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Shanawaz Basith (Claimant) vs. J.P. Morgan Securities, Inc. (Respondent) Case Number: 09-03681 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Shanawaz Basith ("Claimant"): Catherine E. Anderson, Esq., Giskan Solotaroff Anderson & Stewart LLP, New York, NY. Respondent J.P. Morgan Securities, Inc. ("Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Timothy ("Chip") Stevens (Claimant) vs. Deutsche Bank Securities, Inc. (Respondent) Case Number: 08-04980 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Timothy ("Chip") Stevens hereinafter referred to as "Claimant": Jeffrey L. Liddle and David 1. Greenberger, Esq., Liddle & Robinson, L.L.P., New York, NY.