AWARD FINRA Dispute Resolution In the Matter of the Arisltration Between: Names of Claimants Cari E. Lambert and Patricia A. Lambert, as Trustees of the Cari E. Lambert and Patricia A. Lambert Living Trust, and Patricia A. Lambert, as Tmstee of the Patricia A. Lambert IRA vs. Name of Respondent Raymond James Financial Services, Inc. Case Number 09-00362 Hearing Site: St. Louis, Missouri Customers vs. Member Cari E. Lambert and Pat

AWARD FINRA Dispute Resolution In the Matter of the Arisitratlon Between: Name of Claimant Meniil Lynch, Pierce, Fenner & Smith Incorporated vs. Name of Respondent David Raacl( Case Number 09-06178 Hearing Site: Houston, Texas Member vs. Associated Person Merrill Lynch, Pierce Fenner & Smith Incorporated ("Claimanr) was represented by Jeffrey M. Csercsevits, Esq., Rubin, Fortunate & Harbison, P.C, Paoli, Pennsylvania. David Raack ("Respon

STIPULATED AWARD FlURA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Bamey, Inc. vs. Name of Resoondent/Counter-Clalmant Robert D. Miller, Jr. Consolidated with: Name of Claimant/Counter-Respondent Citigroup Global Maricets, Inc. f/k/a Salomon Smith Bamey, Inc. vs. Name of Respondent/Counter-Ciaimant Thipp Ratsatxiutseua Case

Award FINRA Dispute Resolution In the Matter of the Arbjtration Between: Name of the Claimant Case Number 08-01757 Paul Nomnan Name of the Respondent Hearing Site: San Francisco, Califbmia Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Paul Norman, hereinafter refened to as "Clalmanf: Brfan G. Isaacson, Esq., Isaacson & Wilson, P.S., Seattle, Washington Respondent, Citigroup G

stipulated Award FINRA Dispute Resolution In the Matter of the Art}itration Between: Claimant/Counter-ResDondent: Case Number 08-02932 Ameriprlse Advisor Services, Inc. Formeriy H&R Block Financial Advisors, Inc. Respondent/Counter-Claimant: Hearino Site: Los Angeles, Califbmia James M. Patton Nature of the Disputes: Member vs. Associated Person Associated Person v. Member Claimant/Counter-Respondent Ameriprlse Advisor Services, Inc., for

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 08-05012 Mary Morlas, individually, and as Trustee of the Mary R. Morlas Trust and the Mary Morlas IRA Account Name of the Respondents: Hearing Site: Los Angeles, California RBC Dain Rauscher Inc. n/k/a RBC Capital Markets Corporation John Kennedy Christopher B. Kennedy Robert S. Weaver Nature of the Dispute: Customer vs.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-04656 Citigroup Global Markets Inc. Respondent Hearing Site: Los Angetes, Callfbmia Michael A. Sheriff Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant. Citigroup Global Maricets Ina. hereinafter referred to as "Claimant": Manoj R. Andalkar, Esq. and Joe McCellan. Esq.. Alonso, Andalkar & Kahn, P.C.. New York

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04640 Richard Michael Lucas, Jr. Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley & Co.. Incorporated Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Richard Michael Lucas, Jr., hereinafter referred to as "Claimant": Curtis Carlson, Esq., Carlson & Lewittes, P.A., Miami, Florid

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03676 Mei-Fang Chan Names of the Respondents Hearing Site: Bimiingham, Alabama Hugh E. Parish Merrill Lynch. Pierce, Fenner & Smith, Incorporated Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mel-Fang Chan, hereinafter referred to as "Claimanf: Michael L. Haggard, Esq., Lamar. Mill

Award FINRA Disputs Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-01382 Kwen-Jen Chang Jane P. Chang Name of the Respondent Hearing Site: Raleigh, North Carolina UBS Financial Sen/ices Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Kwen-Jen Chang and Jane P. Chang, hereinafter collectively referred to as "Claimants": Andrew O. Whiteman, Esq.. Hartzell & Whiteman