Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen J. Ketchum (Claimant) v. Banc of America Securities, LLC (Respondent) Case Number 08-01341 Hearinc Site: New Yori^, New Yorit Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Ciaimant Stephen J. Ketohum hereinafter refiened to as "Claimant": Jonathan R. Sack, Esq., Sack & Sack, New Yortc. NY. Respondent Banc of America Securities, LLC, herei

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: NamflaofClaimanta Leo A. Steck and Mary L. Steck, Individually and as Trustees of the l.eo A. Steck Tnjst, the Sally P. Umberg Trust, the Mary L. Steck Revocable Trust, the Mary L Steck VFL Toist, and the Mary L Steck EAL Tmst vs. Case Number. 09-01829 Hearing Site: St. Louis. Missouri Namea of Respondents Huntieigh Securities Corporation. James Steele McC

AWARD FINI^ Dispute Resolution in the Matter of the Arisitration Between: Names of Claimante Cari M. Noble, Jr. and Sandra J. Noble vs. Case Number: 09-00558 i-iearing Site: Chicago. Illinois Names of Resoondente IHowe Bames i-ioefer & Amett, Inc. and Theodore Edward Williams NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESEMTATIQM OF PARTIES Cari M. Noble, Jr. and Sandra J. Noble ("Claimante") were represented

Award FiNRA Dteputo Reeolution In the Matter of the Arialbation Between: Claimant Case Number 09-03937 HanyA. Salzman Respondente Hearing Site: Denver, Cotorado American Ciasste Financtel Company Ftorence Rosenthal Ktoin Natore of the DIsputo: Customer vs. Member and Assodated Person REPRESENTATION OF PARTIES Claimant, Hany A. Salzman. hereinafter referred to as "Claimant": Derek C. Anderson, Esq.. Michaels. Ward & Rabinovttz, LLP. Boulde

Asvard FINRA Dtaputo naeolutlen In ttie Matter of ttie Arbltratton Beteieen: Claimants: Case Number 09411822 JossphSlmaa JoAnneStoiaa Hearing SHa: San Frandsoo, CdMbmta Chase Investefient Sen^toes Corp. formeriy known as WAMU investmente. Inc. Jim M. McBravy Jackson Nattonal Lite Dtatributora LLC Jackaon ftattonai Lite Insurance Company Natore of the DIsputo: Customere vs. Membere, Assodatsd Person and Non-Member REPHEaElfTATlON OF PA

AWARD FINRA Dtepms Rseolullon In the Matter of the Arbitration BelMieen! MannaaQfCteimante VlrgMa Lal» Towmhouaea, LLC, a Daiawaie LimHad UabMy Company; Bradford Kbhtenberg; and UBS Tnnt Company of Dalaswue. as Trustee of the Bradford Kohtonberg QualHtod Dtoposttion Trust Datod 6n5^2006 vs. CaaaNumbar 08-03982 Hearing sua: ljosAngeiaa,CaWbmta fjamaaofRaannnriante RBC Capital Martrete Corporation, a Minnesota Corporation; Stan

Award FINRA Dteputo Reaolutfon In ttie Matter of the Art)itration Between: ClaiQiant SaHy D. Frederick Respondente DonakI L. Hartmann Haiimarit Consulting Group, Inc. JRL Capital Corporation Michael A. Abraham Cross-Claimante Donald L Hartmann Hallmari( Consulting Group, Inc. JRL Capitel Corporation Cross-Respondent Michael A. Abraham Cross-Claimant Mtohael A. Abraham Cross-ResDondent JRL Capital Corporation Ca

Award FINRA Dteputo RaaduHon In tiie Matter of the Arbttration Between: Cteimant Case Number 09-01477 Intevac, Inc. Reaoondante Hearing Site: San Frandsoo, Califomte Citigroup Gtobal Maricete, Inc. Citigroup Inc. Nature of the Dispute: Customer vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant, Intevac, Inc., hereinafter refenred to as "Claimanf: Robert L. Schnell, Jr.. Esq.. and Lelf T. SImonson, Esq., Faegre & Benson LLP, Min

Award FINRA Dteputo Raaolutlon In the Matter of the Ari3itration Between: Cteimant CaaaNumbar 1(M)0169 Wdte Fargo invesbnente, LLC Respondent Hearing Site: San Frandsoo, Califbmte WllllamJohnBartok Nature of the DIsputo: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, VM\s Fargo Invesbnente, LLC, hereinafter referred to as "Claimanf: Gregory B. Simon, Esq., Kane & Fischer, LU., Chicago, lllinon. Respondent, William John B

Awapd HNRA Dtepirte Resolution In tha Matter of tha ArbNraiion Between: SMmA CaaaNumbar 07-02734 JamOa Arapovic a/k/ia Jannite Kabir aMte Piamlta Arapovic pyflffl]j^^^^^ Hearing SHa: Los Angelas, CalHbmte WMto Fargo Investmanto, LLC VM B Fargo Bank, N A And; WMIs Fargo Investmsnts, LLC Countar-Reapondent Jamlta Arapovic a/kte Jamite Kabir a/k/a DJamlte Arapovte Nature of tho DIsputss: Assodatsd Person vs. Mambar and Non-Mambar