AWARD FINRA DISPUTE RESOLUTION CASE: 09-06614 Harry R. Lynn as Trustee of the Harbor Press. Inc. PSP U/A DTD 05/10/1989 FBO Hany R. Lynn (Claimant) vs. Charies Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jason T. Dennett, Esq., Carlson & Dennett, P.S., Seattle, WA. For Respondent appeared Audette Paul Morales, Esq., Keesal, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 1

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05483 Mary Cowin (Claimant) vs. MetLife Securities, Inc., Benjamin Ricciardi, Mitchell Scher, Nancy Potte, Adam Kramer, and Scher Financial Group (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Belleville, NJ. For Respondente appeared Howard E. Panensky, Esq., Winget, Spadafora & Schwartzberg, LLP, New Yoric, NY. NATURE OF DISPUTE: Customer v. Member, Associated Persons, and Non-Member DATE F

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05093 Craig W. Mastrogiovanni (Claimant) vs. Clinton Borchardt, Glen Dubrowsky, and Scottrade, Inc. (Respondente) REPRESENTATION OF PARTIES: For Claimant appeared Douglas S. Knehr, Esq., Douglas S. Knehr L.L.C., Lawrenceville, NJ. For Respondente appeared Andrew C. Small, Esq., Scottrade, Inc., St. Louis, MO. NATURE OF DISPUTE: Customer v. Associated Persons and Member DATE FILED: August 31, 2009 CASE SUMMA

Award FINRA Dteputo Reaolution In the Matter of the ArtMtration Between: Name of the Claimant Case Number 09-02967 Menill Lynch, Pterce, Fenner & Smith Inc. Name of the Respondent Hwrinfl?itg: Attente, GA Robert D. Pippenger, Jr. Natore of the Dispute: Member vs. Associated Peraon REPRESENTATION OF PARTIES For Menill Lynch, Pierce, Fenner & Smith Inc.. hereinafter referred to as 'Ctelmant": Michael J. Fortonato. Esq.. Rubin, Fortunato & Harbi

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of the Claimant Case Number 09-02766 Argerit Incorporated Name of the Respondent Hearing Site: Miami, Florida David L. Sugannan Name off the Third Party Respondent Deutsche Bairk Securities, Inc. Natore of the Dispute: Non-Member vs. Associated Person vs. Member. REPRESENTATION OF PARHES For Aigent Incorporated, hereinafter refenad to as "Claimant^: A. Patricia

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Wood and Lloyd Doteon (Claimante) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Case Number: 09-03629 Hearino Site: New Yori^, New Yorit Natore of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimante Robert Wood ('Wood'')and Lloyd Doteon ("Doteon"), hereinafter collectively referred to as "Claimante": Richard Slavin, Esq.,

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Michael Jacobs, individually, as custodian for Jeffrey Jacobs and Julie Jacobs, and as Trustee tor the Diane Jacobs Disclaimer Trust ("Claimante") vs. UBS Financial Sen/ices. inc. ("Respondent") Case Number: 09-02400 Hearing Site: New Yorte, New Yorie Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimant Michael Jacobs, individually ("M. Jacobs"), as cu

I ' 1 stipulated Award FINRA Dispute Resolution in the Matter of the Arisitration Between: Zain Abdullah (Claimant) vs. Calyon Securities (USA), Inc.. Calyon S.A.. and Credit Agricoie. S.A. (Respondente) Case Number. 08-00873 Hearino Site: New Yori^. New York Nature of Dispute: Associated Person v. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Zain Abdullah ("Claimant"): JefFrey L. Liddie. Esq., and Michael E. Grenert. Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Keith J. Steidle, Roderick T. Norman, and Michael S. Asteshicevich (Claimante) vs. Granite Securities. LLC. Obsidian Financial Group, and Princor Financial Services Corp. (Respondente) Case Number: 07-02912 Hearing Site: Newari(, New Jersey Nature of the Dispute: Associated Persons vs. Members. REPRESENTATION OF PARTIES Claimante Keith J. Steidle ("Steidle"). Rodericlc T. Norman

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01715 Morgan Stenley & Co., Incorporated Name of the Resoondent Hearing Site: Ft. Lauderdale, FL Joe M. Cantu Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley & Co.. Incorporated, hereinafter referred to as "Claimant": Stephany D. McLaughlin, Esq., Kane & Fischer, Ltd., Chica