STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Morgan Stanley & (^., Incorporated (formerly Morgan Stanley DW Inc.) vs. Case Number 08-05028 Hearing Site: Cleveland, Ohio Name of Resoondent/Counter-Claimant Kenneth R. Boyd NATURE OF THgPISPUTg Member v. Associated Person REPRESENTATION OF PARTIgS Morgan Stanley & Co., Incorporated (formerly Morgan Stanley DW Inc.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dana Presti, individually and as Executrix of the Estate of Ralph E. Dllks (Claimants) v. PNC Investments. LLC and Ronald Aungst (Respondents) Case Number: 09-00444 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customers vs. Memt>er and Associated Person. REPRESENTATION OF PARTIES Claimants Dana Presti ("Presti") and Estate of Ralph E. Dllks ("Dilks"), hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Royal Alliance Associates, Inc. (Claimant) vs. Patrick Joseph McConnell (Respondent) Case Number: 09-04534 Hearino Site: New Yori«, New Yori^ Nature of the Dispute: Member vs. /^sociated Person. REPRESENTATION OF PARTIES Claimant Royal Alliance Associates, Inc., hereinafter referred to as "Claimanf: Erika L. Altman. Esq., Luboja & Thau, LLP. New York, NY. Respondent Patrick Jose

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06604 TD Ameritrade, Inc. (Claimant) vs. Joseph Buscema (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared R. Matthew Ingraham, Esq., TD Ameritrade, Inc., Bellevue, NE. Respondent appeared pro se. Brooklyn, NY. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 19,2009 CASE SUMMARY; Claimant asserted the following causes of action: breach of contract, breach of the Covenant of Good Faith and

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04247 Emmanuel Tetteh Kpabitey (Claimant) vs. Darin C. Haines and Costa Tzotzis (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Bronx, NY. For Respondents appeared Michael Utilla, Esq., Brooklyn, NY. NATURE OF DISPUTE: Associated Person v. Associated Persons DATE FILED: July 16, 2009 CASE SUMMARY: Claimant asserted the following cause of action: compensation owed. In their Counterclaim, R

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05684 Laurens M. Hoppenbrouwer (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Washington, DC. For Respondent appeared Angela A. Turiano, Esq., Bressier, Amery & Ross, New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 2, 2009 CASE SUMMARY: Claimant alleged that he incurred a loss when Respondent re- registered his account

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06414 Sharon McKlttrick Coulton TTEE FBO S. McKittrick Trust (Claimant) vs. UBS Financial Services Inc., Loy Dean McGowan. Scott Vehslage, and David Steven Goldberg (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Jocotepec, Mexico. For Respondents appeared Alise Johnson, Esq., UBS Financial Services Inc., Fort Lauderdale, FL. NATURE OF DISPUTE: Customer v. Member and Associated Persons DA

Award FINRA Dteputo Reaolutlon in the Matter of the Art)itration Between: Claimant Case Number 08-02931 Wachovia Securities, LLC Respondent Hearing Site: Los Angeles, Calitomte Rumy Lopez Natora of the Dtepute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimanf or "Wachovia": Jonathan E. Irvine, Esq., Law Office of Daniel S. Flore, Ariington, Virginia. Respondent

AWARD FINRA Dteputo Reaolutlon In the Matter of the Arbitration Between: NameofClainriant Citigroup Global Maricete, Inc. vs. Case Number 08-04881 Hearing Site: Detroit, Michigan Name of Respondent Scott C.Nicol NATURE OF THg DISPUTE Member vs. Associated Peraon REPRESENTATION OF PARTIES Cttigroup Gtobal Maricete, tnc, ("Cteimanr) was represented by Gregory B. Simon, Esq., Kane & Fischer, LTD, Chicago, Illinois. Scott C. Nicol ("R

AWARD FINRA Dtoputo Reeolution In the Matter of the Arbttration Between: Names of Claimante The Roe Green Foundation, Eugene A. Kratua, Trustee, The Roe Green Trust, Eugene A. Kratua, Trustee, The Minette B, Fisher Family Trust, Eugene A. Kratus, Trustee, and The Nanette L. Fisher Family Trust, Eugene A. Kratus, Tmstee vs. Caae Number 08-01973 Hearing Site: Clevetand, Ohio Names of Respondente Charies Schwab & Company, Inc.,