Award FINRA Dispute Resolution In the Matter of the Artiitratlon Between: Andrew L. Kaye (Claimant) vs. CIBC Worid Maricete Corp. (Respondent) Case Number 08-04141 Hearing Site: New Yoric. New Yori< Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Andrew L. Kaye hereinafter refened to as "Claimant": Jeffrey L. Llddie, Esq., Michael Grenert. Esq., and Sherry Shore. Esq., Llddie & Robinson, L.L.P., New Yoric, NY.

Award FINRA Dteputo Resolution In the Matter of the Arbitration Between: Ralph Joel (Claimant) vs. Eisensteric Advisory, Inc. and Jay Elsensterk (Respondente) Case Number: 08-00486 Hearing Site: Newaric, New Jersey Nature of the Dispute: Customer vs. Non-Members REPRESENTATION OF PARTIES Claimant Ralph Joel hereinafter referred to as "Claimanf: Paul F. Carvelli, Esq., McCusker, Anselmi, Rosen & Carvelli, P.C. Respondente Eisensteric Advisory, Inc. ("

AWARD FINRA DIepute Reaolution In tiie Matter of tiie Art)ttratton Between: Names of Clalmante Elizabeth O, Austin, Indivtoually and as Co-Tmstee of the Elizabeth O. Austin Trust, and Mary E. Woods, as Co-Trustee of ttie Qizabeth O. Austin Trust vs. Case Number 09-02518 Hearing Stte: Kansas Ctty, Mtesouri NameofReapondent Cttigroup Gtobai Maricete, Inc. NATURE OF THgMSPUTE Customers vs. Member REPRESEMTAT1QM OF PARTIES Elizabe

Award FINRA Dteputo Resolution In the Metterof the Ari£>ttratton Between: Name of ttie aaimant Case Number. 08-01962 Edtth M. Vogelhut, as beneflclery of ttie Bemard 1. Posner Tmst Names of ttie Respondente Hearing SHe: Miami. Ftorida Menlll Lynch Menill Lynch Bank & Tmst Co., FSB Names of ttie Third Party Respondente Martin Posner Leslte Posner Nature of the Dispute: Customer vs. Non-Member and Member vs. Customer. REPRESENTATION

AWARD FINRA Disputa Resolution In the Matter of the Arbitration Between: Name of Claimant Joseph M. Fischer Trust a/k/a Joseph M. Fischer Revocable Living Trust, Joseph M. Fischer, Trustee vs. Case Number 09-00482 Hearing Site: Detroit, Michigan Name of Respondent Citigroup Global Maricets, Inc. a/k/a Smith Bamey MATURE OF THE DISPUTg Customer vs. Member REPRESENTATIOM OF PARTIES Joseph M. Fischer Trust a/k/a Joseph M. Fischer Revocab

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gary William Mohammed (Claimant) v. Deutsche Banic Securities, Inc. (Respondent) Case Number 08-01222 Hearina Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Gary William Mohammed hereinafter refenred to as "Claimant": Blaine H. Bortnick, Esq.. Liddle & Robinson, L.L.P., New Yoric, NY. Respondent Deutsche Bank Se

Award FINRA Dispute Resolution In the Matter of the Art3itration Between: Paulson Investment Company, Inc. (Claimant) vs. Gary Melius and Roger Bahnik (Respondents) vs. RBC Correspondent Sen^ices and John L. Donahue (Third-Party Respondents) Case Number: 09-00005 Hearina Site: New Yoric. New Yori< Nature of the Dispute: Initial Claim: Member vs. Customers. Third-Party Claim: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES

AWARD FiNI^ Disputo Rssoiution In the Matter of the Arbitratton Between: Names of Claimante WRK, LLC, Anne K. and Wiliiam L. Porter Foundation, Inc., Kinport Corporation, Mary S. Kinder Trust, and Arilngton Properttes, Inc. vs. Case Number 08-03219 Hearing Site: Omaha, Nebraska Names of Respondente Wachovia Securities, LLC and Wachovia Securities Financial Networic, LLC NATURE OF THE DISPUTE Customere vs. Membere REPRESENTATIO

AWARD FiNRA Dtopute Resolution In the Matter of the Arisitration Between: Name of Cteimant Paul V. Gosiger vs. Case Number: 08-01389 Hearing Site: Cincinnati, Ohio Name of Respondent UBS Financial Services, Inc. f/k/a Gradison MciDonakI Financial Group MATURgQFTHEDISPUTg Customer vs. Member REPRESENTATION QF PARTIES Paul V. Gosiger f Claimant" or "Gosiger^ was represented by Russell S. Sayre. Esq., Tafl Slettinius & Holllster, LLP

AWARD FiNRA Diaputo Resolution In the Matter of the Art)ittBtion Between: Names of Claimante The Elayne S. Woifenson Tmst, Elayne S. Woifenson, Trustee and The Marvin E. Woifenson Trust, Elayne S. Woifenson and Mannn E. Woifenson, Trustees vs. Case Number 09-03579 Hearing Site: Minneapoite, MInnesote Names of Respondente Wells Fargo Investmente. LLC and Todd D. Baker NATURE OF THE DISPUTE Customere vs. Member and Associated Person