AWARD FINRA Dtepute Resolution In the Matter of the Ariaitration Between: Name of Claimant David Gipson vs. Case Number 07-02801 Hearing Site: Detroit, Mkshigan Names of Respondente GunnAllen Financial, Inc., Frank J. Bluestein, Questar Capitel Corporation, Maximum Finandai Group, Inc., and F.F.. Inc. and Name of Cross-Claimant GunnAllen Finandai, Inc. vs. Name of Cross-Respondent Quester Capitel Corporation and Na

AWARD FINRA Dtepute Reaolution In ttie Matter of the Art)itratton Between: Names of Cteimante Date Z. Jabtonski, IndivkJuaily and as Trustee of the Jabtonski Tmst F/B/0 and Date JablonskI and Mary L. Jabtonski, IndivMually and as Trustee of the Bujack Trust F/B/0 Mary Jabtonski vs. Case Number 09-00728 Hearing Site: Detroit, Mtohigan Names of Respondente Transamerica Financial Advisors, Inc., and Mkshael Czemy MATURE OF THE DISPUTE

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lena M. Byer vs. Case Number 09-00612 Hearing Site: Pittsburgh, Pennsyhrainia Names of Resoondents IMetLife Securities, Inc., and Park Avenue Securities, LLC NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Lena M. Byer ("Claimant") was represented by Bruce D. Oakes, Esq.. Cakes & Fosher, LLC, St. Louis, Missouri. MetL

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stifel, Nicolaus & Company. Incorporated (Claimant) vs. Anthony Amato and Irene F. Kim (Respondents) Case Number: Og-04998 Hearina Site: New York, New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant Stifel, Nicolaus & Company. Incorporated, hereinafter referred to as "Claimant": Jeffrey C. Primiano. Esq., Stifel Nicholas & Company. Incorporat

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04250 Shea Schuiman (Claimant) vs. Edward D. Jones & Co., L.P., and Laurence Levy (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Lisa Catalano, Esq., St. John's University School of Law, St. Vincent De Paul Legal Program, Inc., Securities Arbitration Clinic, Queens. NY. For Respondents appeared Mark G. Vaughan, Esq., Law OfTices of Joseph D'Elia, Esq., Huntington, NY. NATURE OF DISPUTE: Customer

Stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Jan R. Can- (Claimant) vs. Willow Grove Bank n/k/a Willow Financial Bank, Willow Grove Bancorp, Inc. n/k/a Willow Financial Bancorp, Inc., and UVEST Financial Services Group, Inc. d/b/a Wilkiw Investment Services (Respondente) Case Number 08-04609 Hearina Site: Philadelphia, Pennsyh/ania Nature of the Dispute: Assocteted Person vs. Member and Non-Membere. Claimant Jan R.

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05199 Rohinton 8. Bulsare (Claimant) vs. First Asian Securities Corporation (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Massapequa. NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Associated Pereon v. Member DATE FILED: September 2,2009 CASE SUMMARY: Claimant asserted the foiiowing cause of action: expungement. Claim Date Award Data Claim: $100.00

stipulated Award FINRA Dtepute Resolution in the Matter of the Aristtration Between: Susquehanna Securtties (Claimant) vs. Citedel Derivatives Group, LLC (Respondent) Case Number: 09-01656 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Susquehanna Securities hereinafter referred to as "Ciaimanf: M. Nomian Goidberger, Esq., Ballard Spahr LLP, Philadelphia, PA. Respondent Cttadel De

Award FiNRA Dispute Resolution in the Matter of the Arbitration Between: inking Scharff (Claimant) vs. A.G. Edwards & Sons, Inc., Wachovia Securittes, LLC, Edward Mercier, and Jerry Wingbermuehle (Respondente) Case Number. 09-01421 Hearing Stte: New Yoric, New York Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Irving Scharff hereinafter referred to as "Ciaimanf appeared pro se. Respondente A.G.

Award FINRA Dispute Resolution In the Matter of the Artiitration Between: Royal Alliance Associates. Inc. (Claimant) v. Sherman William Wang and Jacqueline Pme (Respondente) Case Number 09-00389 Hearing Sfte: New Yoric, New Yori« Natore of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Royai Alliance Associates, inc., hereinafter referred to as "Ciaimanf: Gregory M. Curiey, Esq., Royai Alliance Associates, Inc.. New Yo