AWARD FINRA DISPUTE RESOLUTION CASE: 10-00061 Meniii Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. James M. Tatlow (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Christopher C. Young. Esq., Rubin. Fortunato & Harbison, PC, Paoli. PA. For Respondent appeared William J. Galbally, Esq.. Galbally 1-aw Offices, Plymouth Meeting, PA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 5. 2010 CASE SUMMARY

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Ciaimants Case Numt?er: 09-04900 Alvin Kiing and Pearl Kling, individually and as trustees of the Ahnn Kling Revocable Trust U/A 9/1/93 and the Howard Gary Kling Revocable Trust Name of the Respondent Hearino Site: Boca Raton, Florida Sanfbrd C. Bernstein & Co., LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Alvin Kling

Award FINRA Dtopute Reeoiutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03559 Teresite Cintron Names of the Resoondente Hearing Site: San Juan, Puerto Rico BBVA Securities of PR, Inc. Jeffirey Lopez Sonla Mart>arak Ruben C. Fernandez Nature of the Dispute: Customer vs. Member and Assodated Person. REPRESENTATION OF PARTIES For Teresite Cintron, hereinafter referred to as "Claimanf: Marie Elste l^p

Stipulatsd Award FINRA DIeputo Reeoiutlon In the Matter of the Arbitratran Between: Name of the Claimant Case Number: 09^5358 Marie Davkl Kaufman Name of file Respondent Hearing Site: Boca Raton, Florida vFlnance investmente, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Marie David Kaufifnan, hereinafter refened to as "Claimant": Alan J. Foxman, Esq.. The Law Offtee of Alan J. Foxman, Esq., Boca Rato

Award FINRA DtoptitB Rmoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04498 James W. Knell Patricia A. Knell James W. Knell Trust Pat Knell Trust Name of the Respondent Hearing Site: Baltimore, Maryland Citigroup Global Maricets, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For James W. Knell ("J. Knell"). Patricia A. Knell < T. Knell"). James W. Knell Trust fJ.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00750 Fortune A. Pesterino, Jr.. and Robin H. Pesterino. Joint Tenante (Claimante) vs. Charies Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimante appeared Jason T. Dennett, Esq.. Carison & Dennett, P.S.. Seattle. WA. For Respondent appeared Annie M. Moriarty, Esq.. Keesal, Young & Logan, San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: February 4. 2010 CASE SUMMARY

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00419 Bella Villella Maisel (Claimant) vs. Feiti & Company (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Minneapolis, MN. For Respondent appeared F. Chet Taytor, Esq.. Taylor Law Office, PLC, Minneapolis, MN. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 27.2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of fiduciary duty, misrepresentetions, non-discl

AWARD FINRA Dteputo Resolution In the Matter of the Arbttration Between: Name of Claimant Merrill Lynch, Pierce, Fenner & Smtth, Inc. vs. Case Number: 10-01420 IHearing Stte: Houston, Texas Name of Respondent Sheney A. Harper MATURE QF THE DISPUTE Member vs. Associated Person REPRESENTATION QF PARTIES Menill Lynch, Pierce, Fenner & Smtth, Inc. ("Claimant") was represented by Beth Delaney, Esq., Rubin, Fortunato & Harisison, PC, Paoli,

AWARD FINRA Dteputo Reeolution In the Matter of the Arbitration Between: Name of Clalmant/Counter-Resoondent Ameriprise Advisor Servtoes, Inc. vs. Name of Resoondent/Counter-Claimant Davki W. Waro Case Number. 09-05778 l-learingSite: Milwaukee, Wisconsin MATURE OF THE DISPUTE Memk)er v. Associated Pereon REPRESENTATION OF PARTIES Ameriprise Advisor Services, ina ("Cteimann was represented by Edward A. Walton, Esq., Ameriprise Advisor

AWARD FINRA Dteputo Resolution In tiie Matter of ttie Arbitration Between: Names of Claimante Rex Gtendenning and Sherese Gtendenning vs. Case Number 00-00826 Hearing Site: Dallas, Texas Names of Resoondente Raymond James & Associates, Inc. and Larry C. Milton NATURE OF THE DISPUTE Customere vs. Member and Associated Pereon REPRESEWTATIQM OF PARTIES Rex Gtendenning and Sherese Gtendenning, hereinafter collectively referred to as "