Award FINRA Dispute RMolulion In the Matter of the Arbitration BetMveen: Claimants Case Number 09-03601 Jack A. Lang Tina L. t-ang The Jack A. and Tina L. L^ang Family Tnist Respondents Hearing Site: Albuaueroue, New Mexico Merrill Lynch Life Agency, Ina, d/b/a MeniH Lynch Lffe Agency of Waahlngton, Inc. Merrill Lynch, Pierce, Fenner & Smith Incorporated MtehaelLacey Nature of the Dispute: Customers va. Member, Non-Member and Asaodate

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Jedwab and Marilyn Jedwab (Claimants) vs. Interactive Broicers, LLC (Respondent) vs. Philip and Pincus Rohr d/b/a Traders Advantege, Inc. (Third-Party Respondente) Case Number: 08-03300 Hearing Site: New Yoric. New Yoric Nature of the Dispute: Initial Claim: Customers vs. Member. Third-Party Claim: Member vs. Non-Members. REPRESENTATION OF PARTIES Claimants Richa

Award FINRA Dispute Resolution in tiie Matter of tiie Artsitration Between: Noriiy Andrea, Juan Sanchez and Luz Sanciiez, and Rutii Velasquez (Claimants) vs. Kyle Browning Rowe, George Honorato Malagon, Jr., Josepii Nidiolas Lanaro, Jr., and Emmett A. Lartcin, inc. (Respondents) Case Number: 07-03428 SITUS: NewYori(, NewYori( NATURE OF DISPUTE: Customers vs. Associated Persons and Member. REPRESENTATION OF PARTIES: Claimants Noriiy Andrea ("Andrea"),

AWARD RNRA Dispute Resolution In the Matter of the Arbitration Between: Namea of Claimants A.J. Walght and Suann Weight vs. Case Numk>er 09-02511 iHearing Site: i-louston, Texas Namea Qf Respondents Tejas Securities Group, Inc., Tejas Securities, Inc., John Gorman, and Robert Glilette NATURE OF TWEDISPIJTE Customers vs. Members and Associated Persons REPRESENTATION QP PARTIES A.J. Weight and Suann Weight ("Claimants') were rep

AWARD FINI^ Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Meredith Sweatland vs. Case Number 09-00560 Hearing Site: Columbus, Ohio Name of Respondent / Third-Partv Claimant UBS Financial Services, Inc. ss. Third-Partv Respondent Brad Sweatland NATURE OF THE DISPUTE Customer VS. Member REPRESENTATION OF PARTIEfi Meredith Sweatland ("Claimant" or "Meredith Sweatland") was represented by David P.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Merrill Lynch. Pierce. Fenner & Smith, Inc. vs. Case Number 09-03513 Hearing Site: Houston, Texas Name of Respondent Jason Cooney 0I8PUTE Member vs. Assodated Person Merrill Lynch, Pierce. Fenner & Smith, inc. ("Claimanr) was represented by Monica M. Liftman, Esq.. Rubin. Fortunate & Harbison. PC, Paoli, Pennsylvania. Jason Cooney ("Respondent")

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Diana F. Ricicetti (Claimant) vs. Barclays Capital, Inc. (Respondent) Case Number! 10-01071 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Diana F. Ricketti hereinafter refened to as "Claimant": Sheree Donath, Esq., Sklover, Donath & Felber, LLC, New York. NY. Respondent Barclays Capital Inc., h

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06550 Yin Qu (Claimant) vs. Fidelity Brolcerage Sen/ices LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Pleasanton, CA. For Respondent appeared Philip A. McLeod, Esq., Keesal, Young & Logan. San Francisco. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 14, 2009 CASE SUMMARY: Claimant asserted the following cause of action: violation of fiduciary duty. Claim Data

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06482 William A. Tudor and Kathleen Tudor, Jointly, and William A. Tudor (Claimants) vs. Charies Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimante appeared William B. Young, Jr., Esq., Colling, Gilbert, Wright & Carter. Orlando, FL. For Respondent appeared Sean B. Meehan, Esq., Charies Schwab & Co., Inc., San Francisco. CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: November 1

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05911 Robert D. Willcutt and Nancy J. Willcutt (Claimants) vs. UBS Financial Services Inc., Richard Crews, and James Healey (Respondente) REPRESENTATION OF PARTIES: For Claimants appeared Nancy J. Willcutt. Ludlow, MA. For Respondente appeared Hasan Ibrahim. Esq.. UBS Financial Services, Inc., Weehawken, NJ. NATURE OF DISPUTE: Customers v. Member and Associated Persons DATE FILED: October 13. 2009 CASE SUMM