Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David J. Geierman (Claimant) vs. Fidelity Investments, inc., and Fidelity Breicerege Services, LLC (Respondents) Case Number 09-03788 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Non-Member and Member. REPRESENTATION OF PARTIES Ciaimant David J. Gelemian hereinafter referred to as "Claimant": David A. Conti, Esq., Blaise J. Godk>out & Associates, Bosto

Award HNRA Dtepute Reeolution In the Matter of the Aridttration Bebmen: Ctoknante: Case Number 00-00088 Jeenetie Artoreas JodAndreaa Respondente: Hearing Site: Los Angetes. Cdifbmta Charies Schwab & Co., Inc. Wiiitam Brandon Reed Natore of the Dtapute: Customere vs. Member and Assoc'wted Person REPRESENTATION OF PARTIES Claknanto, Jeanette Andreas and Joel Andreas, hereinafter refened to collectively ac XIaimante': James A Sigter, Esq

Awvnd FINRA Dteputo Reeolution to ttie Mattor of ttie ArUtiaflon Between: CteknantJCountar-RaaDondent Casettonbar 09-02459 TTiomaaMaher ResDondenta/CountBT'Ctehnante HesrinoSlto: Portland, Oregon PadffcWsst Securities, Ina Stsphen Henry Graef PhinpAnttionyPlzeto Shanon Lane Ford Marie Thomas McCtoakey Nature of the DIspules: Customer vs. Member and Aasocteted Persons Member and Associatsd Persons V. Customer REPReSEMTATlON OF

Award FINRA Dtepute Reeolution In the Matter of the Artsitration Between: Claimante Case Number 09-06977 JoeephReddy Joseph Reddy M.D., Ina Respondent Hear^ia Site: San Diego, Celifomia William W.Atexander Natore of the Dispute: Customers vs. Associated Person REPHP^ENTATipN QF PARTIES Claknanto, Joseph Reddy and Joseph Reddy M.D., Inc., hereinafter referred to collectively as 'X^teknante': John W. Davis, Esq., Law OfRoe of John W. Davis,

Award FINRA Dteputo Reeolution In ttie Matter of ttie Arialtration Between: Clffimante Case Number 09-03329 Samir Chaman Maria Imekia Gualaido RasDondent Hearino Site: Denver. Cotorado Merriii Lynch, Pierce, Fenner & Smitti Incorporated Natore of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimante, Samir Chaman and IMaria ImeMa Guajardo, hereinafter refanred to collectively aa "Claimante': Gary J. Ceriani, Esq. and Patri

Award FINRA Dteputo Resolution In ttie Matter of the Arbibation Betvween: Cteiffiant CaseNuniber 09-05774 Wbiis Fargo Advisore, LLC f/kte Wachovia Securities, LLC Respondent: Hiring Site: Los Angeles, Caiifomia Michael Wiiiiam Lopez Natore of the Dispute: Member v. Associated Person REPRESENTATIOW OF PARTIES Claimant Wblls Fargo Advisors, LLC fMa Wschovia Securities, LLC, hereinafter refened to as "Claimant": Jonathan E. Levine, Esq., Law Off

AWARD FINRA Dteputo Reeolution in the Matter of the ArbitaBtion Between: Names of Claimante John A. Lozes. KIric Baenwaklt. Maxine Baenwadit, Timothy Storge, DonaM N. Patten, and Nader Naklb vs. Case Number 09-02855 Hearing Site: Kansas City. Kansas Name of Respondent E'TRADE Securities. LLC MATURE OF THE DISPUTE Customers vs. Member REPRESEMTATIQN OF PARTIES John A. Lozes, Kiric BaerwakK. Maxine Baenivadit, Timothy Storge. DonakJ N.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: NameofCiaimant Matthew L. Weisberg vs. Case Number 09-02619 i-learing Site: Detroit, Michigan Name of Respondent UBS Financiai Services inc. NATURE OF THgDISPUTF Associated Person vs. Member REPRESENTATION OF PARTIES Matthew L. Weisberg fCiaimanr) was represented by Anthony V. Trogan. Jr.. Esq., Anthony V. Trogan. P.L.L.C.. West Bioomfieid. Michigan. UBS Fina

Award FINRA DIsputa Resolution In the Matter of the Arbitration Between: Name of the Claimant^) Case Number: 08-02687 Allegiant Securities, L.L.C. Name of the Respondent's) Hearing Site: Miami, Florida Ira Jay Weinstein Nature of Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Allegiant Securities, L.L.C, hereinafter referred to as "Claimant": Alan M. Wolper, Esq., LocKe Lord Bissell and Llddeli, LLP, Atlanta, Georgia.

AWARD FINRA DIsputo Resolution In the Matter of the Arbitration Between: Names of Ciaimante / Counter-Resoondente NRP Financial, Inc., National Retirement Partnere, Inc., and NRP Advisore, inc. vs. Case Number: 09-03246 Hearing Site: Indianapolis, Indiana Names of Resoondente / Counter-Cialmante Walker Bate Retirement Group, inc.. Wade Alan Walker, and Jeffrey Brian Bate MATURE OF THE DISPUTE Member and Non-Membere vs. Non-Member