Award FINRA Dtepute Resolution In the Matter of the Aritittration Between: Name of the Cteimant Case Number: 09-02480 Oppenheimer & Co. Inc. Name of the Respondent Hearina Sfte: Boca Raton, Florida Bradley A. Sustain Nature of the Dispute: Member vs. Associated Pereon. REPRESENTATION OF PARTIES For Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Cory S. Zadanosky, Esq., Zadanosky & Assodates, PA, Lake Worth, Florida. Bradle

Award FiNRA Dtepute Resoiution In the Matter of ttie AriaitFation Between: Claimant Case Number 07-02318 Wiliiam Eridcson Respondent Hearing Site: San Diego, Callfomte Joe Rex Woods, II Natore of the Dispute: Associated Pereon vs. Assodated Person REPRESENTATION OF PARTIES Claimant, William Erickson, hereinafter rsfierred to as "Ctelmanf: Daniel O. Stemm, Esq., and Joseph P. McCaffiery, Esq., Joseph P. McCaffiery & Associates, Aurora, Ill

Award RNRA Dlspula Resolution In ttie Matter of ttie Art)ttratton Between: Ciaimante Case Number 08-02330 FtoraAnn Miiann WIUIamJ.Kttching Hetena Loewen Jonattian Sendor Virglnte Sendor Jill Sendor-Laychal( Douglas Laychak Respondente Hearing Stte: Denver, Cotorado Bany L. Amstor Homor, Townsend & Kent, Inc. Penn Mutoal Life Insurance Company Crosa-Cteimant Barry L Amster Cross-Respondent Homor, Townsend & Kent

Stipulated Award FINRA Dtepute Resolution in the Matter of the Arbttration Behween: Name of ttia Cialmant Case Number 08-03838 Joann Laskto Name of ttie Respondente: Hearing SHa: IJOS Angeles, Callfomte Banc of America investment Sennces, Inc. PeterJ.Hyan,lll Nature of the Dtepute: Customer vs. Member and Associated Person REPRESENTATION OF PARTJgS Claimant, Joann L^sidn, hereinafter referred to as "Ciaimanf: David N. Lalce, Esq., The

Award FINRA Dispute Resolution in the Matter of tt)e Arbttration Between: Nanne of the Cteimant: Manny Neves Name of the Respondent: Chase Investment Services Corp. fyic/a WaMu investmente, inc. f/k/a WM Financial Services, Inc. Case Number 08-04540 Hearing Sfte: Seattie, Washington Nature of the Dispute: Custonrar vs. Member RgPRESENTATION 9F PARTIES Claimant Manny Neves hereinafter referred to as "Cteimant": Courtiand T. Shafer. Esq.,

Award FiNRA Dispute Resolution In the Matter of the Arbttration Between: Milford Muchnick (Claimant) vs. Morgan Stanley & Co., Inc., and William J. Knowles (Respondents) Case Number 09-02247 Hearino Stte: New Yoric, New Yoric Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Milford Muchnick ("Ciaimanf): Benedict Sliney, Esq., and Henry T. Nguyen, Esq., Leventhai and Sliney, LLP, Roslyn. NY. Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ladi Adebonojo (Claimant) vs. Eric Small and SBK Brooks Investment Corp. (Respondents) Case Number: 07-00610 Hearing Site: New Yorii, New Yori« Nature of the Dispute: Associated Pereon vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Ladi Adebonojo hereinafter referred to as "Claimant": Richard V. Kanter, Esq., Attorney at l-aw, Melville, NY. Claimant previou

Award FINRA Dtepute Reaolution In the Matter of the Arbttration Between: Names of the Ciaimante Case Number: 09-02004 Joseph Schuessler Diane Schuessler Name of the Respondent Hearina Stte: Boca Raton, Florida WAfhAU Investinente, Inc. Nature of the Dispute: Customer vs. Memfoer. REPRESENTATION OF PARTIES For Joseph Schuessler and Diane Schuesster, hereinafter collectively refened to as "Clalmante": Gregory S. Tendrich, Esq., Gregory Tend

Award HNRA Dispute Reaolution In ttie Matter of the Art)ltration Between: Name of ttie Claimant Case Number 09-01425 Eari J. Smtth Names of tfie Respondente Hearina Site: Rateigh, IStorth Carolina TD Ameritarade, inc. Brian Fehr Donna Givner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARnES For Eari J. Smtth, hereinafter referred to as 'CtelmanT: John C. Randall, Esq., John C. Randall and Assoc

Case Number: 09-03944 Hearing Stte: Louisvilto, Kentucky NATURE OF THg DISPUTE Customere vs. Memfoer REPRESENTATION OF PARTIES Jeffrey and Linda Kraemer ("Ciaimante") appeared pro se. UBS Finandai Senrioes, Inc. ("Respondenr) was represented foy John O. Murphy, Esq., UBS Finandai Senrices, Inc., New Yoric, New Yoric. CASE INFORMATION The Statement of Claim was filed on or about June 26,2009. The Sufomission Agreement of Ciaimante, Jeffiey and Linda K