AWARD FINRA Disputo Resolution In the Matter of the ArfoitFation Between: Names of Cteimante Marie O. Btomker, Indhndually and as Representetive of the Estate of Joseph W. Blomicer. and the Blomker Family Revocabte Tmst vs. CaseNumt>er 09-02538 Hearing Site: Houston, Texas Names of Respondente Charies Schwab & Co.. Inc.. Lincoln Financial Dtetributora, Inc., Financial Synergies Asset Management, Inc., and Michael Booker and Names

AWARD FINRA Dispute Resolution In the Matter of the Ariaitretion Between: Names of Claimante Jonathan Mores Seltzer, SEP liRA, Jonatiian Morse Seltzer, IRA Contributory, Jonathan Morse Seltzer, Roth Contributory IFRA, Susan Oehter Seltzer, IRA Contributory, and Susan Oehter Seltzer, Roth Contributory If^ vs. Case Number 09-01053 Hearing Site: Minneapolis, Minneapolis Name of Respondent Charies Schwab & Company, Inc. NATURE OF THg DISP

Award nNRA Dteputo Reaolutlon In the Matterof the Art>itratton Between: Name of the Cteimant Case Number 0M1323 Robert H. Craig, IndMdually, as Owner and Benefictery of the Robert H. Craig IRA, and aa Tnistae of the Robert H. Craig Revocabte Uving Trust U/A/D1/28/07 Names of the Respondente Hearino Site: Tampa, Ftorida Investora (^apttal Corporatton Wiiltem B. Gordon Nature of the Dteputo: Customer vs. Member and Associated Person.

Award FINRA DIaputa Resolution In the Matter of the Arbitration Between: fteme of the Claimant Case Number 08-00499 Elizabeth Wblfe Fowler Name of the Respondent Hearing Site: New Orieans, Louisiana Morgan Keegan & Company, Ina Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Elizabeth Wolfe Fowler, hereinafter refened to as 'Claimant': KIrtc Reasonover, Esq., Reasonover & Olinde, LLC, New Orieans, l.ouisiana. For

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities. LLC (Claimant) vs. Nancy GrifTiths-Lawton (Respondent) Case Number: 09-04787 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Memt>er vs. Associated Pereon. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter refened to as "Claimant": Renan I. Sugarman, Esq., Renan Sugarman, P.C, Chicago, IL. Respondent Nancy Grifnths-I.aw

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Charies Kuper (Claimant) v. Morgan Steniey & Co, Inc., and Stephen Penweli (Respondents) Case Number. 08-04607 Hearing Site: Boston. Massachusette Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Peter Charies Kuper hereinafter refened to as "Claimant": Patricia Washienko, Esq., Wagner Coolc Freiberger & Washienl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Marion E. Behan and Brian P. Behan (Claimants) vs. Marsco Investment Corporation (Respondent) Case Number: 09-04718 Hearino Site: New Yortc. NewYori^ Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Marion E. Behan ("M. Behan") and Brian P. Behan ("B. Behan"), hereinafter collectively referred to as "Claimante": Benjamin Lapin, SMRC, Inc., Brooklyn

Award FINRA Dispute RaMlullon In the Matter of the Arbitration Betwfeen: Ciaimant Caae Number 09-03874 Morgan Staniey Smith Barney Ragpondent Hearing Site: San Diego. Califbmia Wiliiam Jonathan BetUs Nature of the Dispute: Membervs-Associatad Person REPRESENTATION OF PARHES Ciaimant, Morgan Steniey Smitti Barney, hereinafter referred to as "Morgan Staniey" or "Ciaimant": Patridc J. Foian, Esq., SL John Waiiace, Brennan & Foian, LIP, Tonance,

Award FINRA Dtepute Raaoluflon 1 n the Matter of ttw Art>ttrBtion Between: MameoftfwCteimant C w NymfrOT 09^142 DonddS. Rose Names of ttw Respondente Hearing Stte: Fort Ljauderdate. Ftorida AXAAdvtoore,LLC Howard Steven Wblkowttz BrinkerCapttal. inc. Nature ofthe Dteputo: Customer vs. Member, Assodaled Person snd Non-Member. RgPRESENTATION OF PARTIES For Dondd S. Rose, herdnaftor refened to as "^taimantr: Marie A. Tapper, Esq., Marie

Sllputetod Award FINRA Dtepute Reeolution In ttie Matter of the Arbttratton BetMreen: CUbttOt Case Number 09-03808 Cttigroup Globd Marirete Ina Rwrnriffflt Hearing SHa: Los Angeles, Califomte Kevin Craig SaHc Natore ofthe Dispute: Member vs. Assodatad Person REPRESENTATTQN OF PARTIES Ctelmant Cttigroup Global Maricete Inc., herdnaftor rdbrrad to as "Cteimanf: Michael Jacob Ewart, Esq., HHIte Cteric Martin & Peterson, P.S., Seattte, Washington