AWARD FINRA DISPUTE RESOLUTION CASE: 09-06124 Richard Royce Palmer IRA (Claimant) vs. Edward D. Jones & Co., L.P., and Carl Kirby Morrison (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Richard Royce Palmer, El Cajon, CA. For Respondents appeared Paul Foster, Esq., Des Peres, MO and Dennis J. Capriglione, Esq., Edward D. Jones & Co.. LP., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: October 22

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Green Family Holdings, LLC (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-02243 Hearino Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Green Family Holdings, LLC ("Claimant"): Stephen Hochhauser, Esq., Bertine, Hufnagel. Headley, Zeltner, Drummond & Dohn. LLP, Scarsdale, NY. Respondent Citigroup

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Pagan l^on Miller vs. CaseNuml>er 08-05005 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Wachovia Securities, LLC I^TURE OF THE DISPUTE Customer vs. Memt>er Publte Arbitrator Pitot Program/All Publk; Panel REPRESENTATIQW OF PARTIES Fagon Ladon Miller ("Claimant") was represented by Randall K. Cah»rt Esq., Calvert l-aw Fimn, Oklahom

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Marcus Profit Sharing Pian, Marcus Kappei & Co. 401K, and Janet Marcus (Ciaimants) vs. UBS Financiai Services, inc. (Respondent) Case Number 08-04212 iHearino Site: New Yoric, New Yori« Nature of the Dispute: Customers vs. Member Pubiic Arisitrator Pilot Program/Aii Pubiic Panei REPRESENTATION OF PARTIES Ciaimants David Marcus Profit Sharing Ran ("Marcus Pian"), Marcus Kap

Award FINRA Disputo Resolution in the Matter of the Arbitration Between: Peter A. Lombard (Claimant) vs. Jeffries & Company, Inc. and Jeffries Group, Inc. (Respondente) Case Number 09-03441 Hearino Site: Boston, Massachusette Nature of the Dispute: Associated Person vs. Member and Non Member. REPRESENTATION OF PARTIES Claimant Peter A. Lombard hereinafter referred to as "Claimant": Howard I. Elman, Esq., Matalon Shwelcy Elman PLLC, New Yoric. NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Samuel Bleichfeld (Claimant) vs. Isaac Simon and UBS Financial Sen/ices, Inc. (Respondente) Case Number: 09-01776 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Samual Bleichfeld hereinafter referred to as "Claimant" appeared pro se. Respondente Isaac Simon ("Simon") and UBS Financial Services

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06261 Marty Wekser (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. North Hollywood, CA. For Respondent appeared John Bersin, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Memt)er DATE FILED: Novemt)er 2, 2009 CASE SUMMARY: Claimant asserted the following cause of action: teilure to follow instructions to transfer funds. Cl

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05683 Suicmanee Rattanavong Lin (Claimant) vs. E^Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Pflugerville, TX. For Respondent appeared John Bersin, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 23, 2009 CASE SUMMARY: Claimant asserted the tollowing cause of action: toilure to process transfer request. The c

AWARD FINRA Dteputo Reeoiutlon In the Matter of the Art)itratton Between: Name of Cteimant Winona Stete Unlvereity Foundation vs. Case Number 09-05803 Hearing Site: Minneapolis, Minnesota Names of ResDondente Edward D. Jones & Company and Brian Aton Thurow MATURE QFTHF DISPUTE Customer vs. Member end Associsted Pereon REPRPSEMTATIOM OF PARHES Winona State Univereity Foundation fCiaimanf') was represented by Kent A. Gemender. Esq..

Award FINRA DIeputo Reeoiutlon In ttie Matter of ttie Art}itratlon Between: Name of the Claimante Case Number: 09-04620 Euro Pacifte Capital, Inc. and Peter Schiff Name of the Respondent Hearing Site: Los Angeles, California Charies Patrick Hanten Nature of the Dispute: Member and Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimante, Euro Pacific Capitol, Inc. ("Euro Pacific") and Peter Schiff ("Schiff"), hereinafte