Award FINRA Dispute Resolution In the Matter of the Arbrtration Between: Name Qf the Claimant Case Number 08-04044 Michael W. Fogarty Name of the Respondent Hearing Site: Washington, D.C. Morgan Stanley & Co. Incorporated Nature of the Dispute: Customer vs. Member. Public Arisitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Michael W. Fogarty, hereinafter referred to as "Claimanf: John P. Connolly, Esq., Alexandria

stipulated Award FINRA Dispute Resolution in the Matter of the Arbttration Between: Name of ttie Claimant Case Number 09-02798 Julius Cantor Names of ttie Resoondents Hearing Stte: Tampa. Florida American Portfolios Financial Services, Inc. Bradford S. Goldner Nature of Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Julius Cantor, hereinafter refened to as "Claimant": Jeffrey Sonn, Bonn & Erez PLC, Fort

AWARD FINRA Dispute Resoluflon In the Matter of the Arbitratnn Between: Name of Claimant Robert B. Luckett, Trustee for The laickett Family Trust vs. Case Number 09-05706 IHearing SHe: Louisville, Kentucky Name of ResporKient U.S. Bancorp Investments, Inc. MATURE OF THE DISPUTE Customer vs. Member REPRESEMTATIOM OF PARTIES Robert B. Luckett, Tmstee for The Luckett Family Trust f Claimant^ was represented by Steven M. McCauley, Esq

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01950 Marilyn K. Deckmann, Trustee for Richard W. Deckmann Family Trust U/A DTD 5/3/99 (Claimant) vs. MIchele E. Kief and Wells Fargo Advisors, LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Rehoboth Beach, DE. For Respondents appeared Judy Louie, Esq., Wells Fargo Advisors, LLC, Pasadena, CA. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: April 23, 2010 CASE

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00932 John Bishop (Claimant) vs. E*Trade Securities LLC and James Eugene Horton (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Jeremiah Phillips, Esq., Northwestern University School of Law, Investor Protection Center, Chicago. IL. For Respondents appeared Meredith A. Felde, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: Febru

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00370 Christopher D. Driscoll (Claimant) vs. Joseph Stevens & Co., inc., and Granite Associates, inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Terryvlile, NY. Respondents did not appear In this matter. NATURE OF DISPUTE: Associated Person v. Members DATE FILED: January 23.2010 CASE SUMMARY: Claimant asserted the following cause of action: misrepresentation and slander. Claim Da

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07096 James Siedleckl, Georgette Sledieckl, and James and Georgette Sledleckl JTWROS (Claimants) vs. Citigroup Global Markets, inc. d/b/a Smith Barney (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Sam Tenenbaum, Esq., Bluhm Legal Clinic, Investor Protection Center, Chicago, iL. For Respondent appeared Chan Nam, Esq., Morgan Stanley Smith Bamey, New York, NY. NATURE OF DISPUTE: Customers v. Member

AWARD FINRA DISPUTE RESOLUTION CASE: 08-03496 Vllcram Rai and Swapnl Rai (Claimante) vs. Bear Stearns & Co.. inc.. J.P. Morgan Securities, Inc., and Alan D. Schwartz (Respondente) REPRESENTATION OF PARTIES: For Clalmante appeared Richard S. Franicowskl, Esq.. Burke Harvey & Frankowskl. LLC, Bimningham. AL and Robert R. Riley, Jr., Esq., Riley & Jackson, P.C., Birmingham, AL. For Respondente Bear Steams & Co.. Inc., and J.P. Morgan Securities, Inc., appeared

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00383 Alan Thietje and Michelle Thietje, JTWROS (Clalmante) vs. Morgan Stenley Smith Barney and Angelo Cortes (Respondente) REPRESENTATION OF PARTIES: For Claimante appeared Marie K. Davis, Esq., Badgley~Mullins Law Group, Seattle. WA. For Respondents appeared Lawrence G. Bardot, Esq., Morgan Stenley Smith Barney, NewYorK. NY. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: January 26.2

Award FINRA Dteputo Resdutlon In ttie Matter d the Aristtrstion Between: JMoadS Case Number 0ft^>2961 HeaHhrlght Partners, LP Grant R. Giffbrd Respondent HearinoSite: Salt Lake City, Uteh Lincoln Finandd Advisors Coiporation Natore of Iha Dispute: Customsrs vs. Member REPRESENTATION QF PARTIES admants. Hsalthrlght Partnera. LP ("HeaHhrlghtr) and Grant R. Gifford rGiffdnf), herdndter collectively rsfened to ss "Clsimsnte': Msrfc W. Pugslsy