AWARD FINRA DISPUTE RESOLUTION CASE: 09-07030 Florence Isham (Claimant) vs. J.J.B. IHiliiard, W.L. Lyons, LLC, James Stoctcman, Kelli (Fredericic) Popp, and Fredericic Stephen Duncan (Respondente) REPRESENTATION OF PARTIES: For Claimant appeared Fred S. Claric, Esq.. Claris and Clark, Savannah, GA. For Respondente J.J.B. IHiliiard, W.L. Lyons, LLC, James Stod^man, and Kelli (Frederick) Popp appeared J. Curtis McCubbin, Esq.. J.J.B. IHiliiard, W.L. Lyons, LLC

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: James Shuel (Claimant) vs. Wachovia Securities, LLC and Michael Ceccon (Respondente) Case Number: 09-04887 Hearing Site: Boston, Massachusette Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant James Shuel hereinafter referred to as "Claimant": Thomas H. Tuclter, Esq., Law Offices of Thomas H. Tucicer, Duxbury, MA. Responden

AWARD FINRA Dteputo Reeolutlon In the Matter of the Arbitration Between: Names of Claimante Anna Rasmussen, individually and as Next Friend of Taylor Marie Rasmussen, Robert Jack Rasmussen, and Samuel Robert Rasmussen vs. Case Number: 08-02958 Hearing Site: Chicago, Illinois Names of Respondente LPL Financial Corporation, John W. Donaklson, and Professional Wealth Management, Inc. MATURg OF TH^ DISPUTE Customers vs. Member, Associ

STIPULATED AWARD FINRA Dteputo Resolution In the Matter of the Arbitration Between: Names of Claimante Mary Ann Prela)sovlch, Trust, Mary Ann Prel(osovlch, Trustee, and Mary Ann Prelcosovich IRA vs. Case Number 09-01730 Hearing Site: Chicago, Illinois Names of Respondente Charies Schwab & Co., Inc. and Kimon P. Daifotis MATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Mary Ann Prekosov

AWARD FINRA DIeputo Reaolutlon in the Matter of the Artsitration Behween: Names of Claimante Scott H. Shufbrd and the King Imevocable Heirs Tmst 11 vs. Case Number 09-02063 Hearing Site: Dallas, Taxes Names of Respondente Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and Dennis J. Devaney MATURg OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Scott H. Shufbrd and the King Irrevocable

AWARD FINRA DIsputa RMOlutlon In the Matter of the Arbitration Between: NameofCiaimant Michael Jamail vs. Case Number: 09-02644 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Byron A. Meads NATURE QF THE DISPUTE Customer vs. Member and Associated Person RgPRESEMTATIQM OF PARTIES Michael Jamaii f Claimant") a/k/a George Michael Jamail, Esq., TTie Reaud Law Firm. Beaumont, Texas rep

Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Franic Dottori (Claimant) v. Robert Joiin Lucarelll, Jr. and Ameriprise Financial Services, Inc. (Respondents) Case Number: 09-03920 Hearino Site: IHartford, Connecticut Nature of tiie Dispute: Customer vs. i^^ember and Associated Person REPRESENTATION OF PARTIES Claimant Franic Dottori hereinafter referred to as "Claimant": Timothy P. Gunning, Esq., Kinney, Secola & Gunning, N

Post Award Addendum FINRA Diapiito Raaoiutlon In the Matter of the Arbttration Between: NameofiheClalmanta: CaSftHUEDhfiT 08-00455 David L Woods and Twila R. Wbods, Trustees of The Wbods Family Living Trust dated July 27,1998 Nanf» of the Reaoondents: Hearing SBa: Phoenbc, Arizona Raymond H. Johnaon Pinnacle Advisors Group, LLC WFG Investments, Ina National Financial Services LLC TTw Panel conducted ttie evidenttary hearing May 5 -13,2009

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Menill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Elison Elliott (Respondent) Case Number 10-01324 Hearing Site: New Yori^, New Yoric Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Merriii Lynch, Pierce, Fenner & Smith incorporated ("Claimant"): Beth Delaney, Esq., and Jeffrey F. Manzella, Esq., Rubin, Fortunato & Harbison

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00034 Stephen L. Halpem Profit Sharing Plan, Stephen L. Haipern, Trustee (Claimant) vs. Merriil Lynch, Pierce, Fenner & Smith incorporated (Respondent) REPRESENTATION OF PARTIES: For Ciaimant appeared Stephen L. Haipern, Camarilio, CA. For Respondent appeared Eric J. Giassman, Esq.. Mennemeier, Glassman & Stroud, LLP, Sacramento, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 2, 2010 CASE SUM