AWARD FINRA DIsputo Resolution In the Matter of the Ari3itratlon Between: Names of Claimante C. Michael Nelson, Linda Y. Nelson, and Jonathan Austin Dantels vs. Case Number. 09-00363 Hearing Stte: Louisville, Kentucky Names of Resoondente MaxxTrade, Inc., M. David Schnektt, and Jeffrey M. Garetica MATURE OF THE DISPUTE Customere vs. Member and Associated Persons REPRESENTATION OF PARTIES C. Mtohael Nelson, Linda Y. Nelson and Jona

Award FINRA Dteputo Resolution In ttie Matterof ttie Arit)ltratton Between: £!iJCiaDt Case Number 09-01560 Peter Oiteng Respondent Hearing Site: San Dtego, CalHbmte UBS Financial Sen/ices Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Peter Chiang, hereinafter refened to as 'Claimanf: Neda Ataie, Esq., Thomas & Atete, LLP, Carisbad, Califomia. Respondent, UBS Financial Services Inc., hereinaft

Award RNRA Dteputo Resolution In ttie Matter of the Ariaitration Between: Claimante Case Number 09-03908 Barbara J. Wammer, Indivtoually and as Tnjstee of ttie Nelson Irrevocable Trust and Nelson Maritel Tnist Respondente Hearing Site: San Francisco, Califomia l" Discount Brokerage, Inc. Kennetti Michael Myere Acument Securities, inc. (f/k/a Thomas F. White & Co., Inc.) Robert Thomson Angle Nature of the Dispute: Customere vs. Membere and

stipulated Award FINRA Dteputo Reaolirtton Case Number 08-04912 In the Matter of the Arbttration Between: Claimante Grady Hunt EricT. Besag Richard Dubois Jeffrey Koury and Erin K. Koury David R. LaVance and Martha B. LaVance Howard K. McNeil, personally and on behalf of NFS/FMTC Rollover IRA FBO Howard K. McNeil & Donna B. McNeil Alan Schildhom ResDondente Brookstreet Securities Corporation FMR Corporation National Financial

Awnid FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 10-01492 Morgan Stanley Smith Barney, LLC, 1/kfa Morgan Stanley & Co. Incorporated Respondent Hearing SHe: Las Vegas, Nevada Justin M. Hensley Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Barney, LLC, f/k/a Morgan Stanley & Co. Incorporated, hereinafter rafanrad to as "ClaimanT: Timothy

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Hougle and Michelle Brilliant (Claimante) vs. Charies Schwab & Co., inc. (Respondent) Case Number: 09-04222 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Robert Hougle ("Hougle") and Michelle Brilliant CBriilianf), hereinafter collectively refened to as "Claimante": David B. Gordon, Esq., Richardson & Pa

Award FINRA DIapute Reeolution In the Matter of the Arbttration Between: Claimant Caae Number 10-01432 Welto Fargo Advisore, LLC Respondent Hearing Stte: ijoa Angetea, CalHbmte Ian Kari Stowere Nature of ttw Dtapute: Member va. Assodated Person REPRESENTATION OF PARTIES Claimant, Welte Fargo Advisore, LLC, hereinafter refened to aa "Weila Fargo' or "Claimanf: Timottiy N. WiH, Esq., Albert & Will, LLP, Tonance, Calttbmte. Reapondent, Ian K

Awanl FINRA Dtopule RaaokiOon to ttie Matter of ttie Arbttraflon Between: Ctetownt fitffiilUIDhflll 09-02893 Steven Sletol)afg Raanondent Hearing Stte: San Francteco, CaWbmte UBS Financial Servlcea Inc. Natore of ttw Diaputo: Cuatomerv. Mentar REPRESENTATION OF PAHTIBS Claimant Steven Stainberg, heralnaflar ralbned to aa "CtaimanT: Val D. Homateto, Eaq., Homateto Law Offlcea, San Frandaco, Callfomta. Reapondent, UBS Finandal Seivtoea

Award FINRA Dtepute Reeolution in the Matter of the Arisitration Between: Ctelmante Caae Number 09-02467 Dami K. Hsu and Gina T. Hsu, Tmstees of ttie Hsu Uving Tmst U/A 05/05/03 Dami K. Hsu Respondente Hearing SHe: San Frandaco, Califomte UBS Financtel Sen/ices Inc. Neil S. Gavande Mildred M. Peltzman Natore of the Diaputo: Customere vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimante, Darru K. Hau and Gina T. Hsu, T

stipulated Award FINRA Dtepute Resolutton In the Matter of the Ari3ttration Between: Claimant Caae Number 09-00711 Nortiiem Lighte Fund Truat Respondente Hearing Sfte: Portiand, Oregon Oppenheimer & Co., Inc. Oppenheimer Holdings, Inc. Albert Grinsfelder Lowenthal Elaine Keiia Roberte Angus Winn Oughtrad Lawrence Peter Spaulding Dennia Patrick McNamara Jeffrey Altano Nature of the Dtepute: Customer vs. Member, Non-Member, and