STIPUI-ATED AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Helen R. Prasil, Individually and Helen R. Prasil as Trustee of John J. Prasil and Helen R. Prasil Revocable Tnjst vs. Case Number: 09-00388 Hearing Site: Minneapolis, Minnesote Names of Resoondente Ameriprise Financial Sen/ices, Inc. & Co., Inc., Randall D. Ehleringer, Kari L. Douglas, Patty O. Nash, John Marie Janes, and Ehierin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-01470 Naresh K. Jain and Santosh K. Jain Respondent Hearing Site: San Francisco, California Scottrade, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Naresh K. Jain and Santosh K. Jain, hereinafter collectively referred to as "Claimants": Naresh K. Jain, pro se, Antelope, Califbmia. Respondent, Scottrad

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number 08-04786 Simon Davkl Lewis I_auren8 Hamilton Rhinelander Christopher Blake Cohn Name of the Respondents Hearing Site: San Diego, California UBS Financial Services Inc. UBS Securities LLC Name of the Counter-Claimant UBS Financial Services Inc. Name of the Counter-Respondents Simon David Lewis Laurens Hamilton Rhinelander

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01986 Abraham Macias Respondents Hearing Site: Houston. Texas Merrill Lynch, Pierce, Fenner & Smith, Incorporated. Eric M. Wolfe Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Abraham Macias, hereinafter refened to as "Claimant": William Kimball, Esq., and Jeffrey L. Jackson, Esq., Law Off

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William G. Ortner (Claimant) v. Barclays Capital, Inc. (Respondent) Case Number: 09-02848 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant William G. Ortner hereinafter referred to as "Claimant": Jonathan S. Shapiro, Esq.. The Shapiro Firm, LLP, New Yori^. NY. Respondent Barclays Capital, Inc.. hereinafter r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wernert Associates, Inc. and Wernert Construction Management LLC (Claimants) vs. UBS Financial Services, Inc., and Chase Investment Services Corp. (Respondent) Case Number: 09-02865 Hearino Site: New York, New York Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES Claimants Wernert Associates, Inc., ("Wernert") and Wernert Construction Management LLC (*Wern

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jerome Le Jamtel (Claimant) vs. Calyon Securities (USA), Inc. (Respondent) Case Number: 08-04000 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. I\1ember. REPRESENTATION OF PARTIES Claimant Jerome Le Jamtel hereinafter referred to as "Claimant": Andrew J. Melnick, Esq., and Matthew A. Katz, Esq., Schindler Cohen & Hochman LLP. New York, NY.

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Dr. Iraki! Glonti and David Dateshidze (Claimants) vs. Lehman Brothers Inc., and RBC Dain Rauscher inc. (Respondents) Case Number: 08-00405 Hearino Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimants Dr. Irakli Glonti ("Glonti") and David Dateshidze, hereinafter collectively referred to as "Claimants": Ar

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Kevin J. Cougie, Jeffrey Thibauit, and Dann Neaie (Claimants) vs. HSBC Securities (USA) Inc. (Respondent) Case Number: 06-04943 Hearing Site: Buffalo. New Yori^ Nature of the Dispute: Associated Persons vs. Members. REPRESENTATION OF PARTIES Claimants Kevin J. Cougie ("Cougie") and Dann Neale ("Neaie"): Kevin J. Mirch, Esq., and Marie Mirch. Esq., Mirch & Mirch, San Diego. CA.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04106 SMH Capital Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Louis Beri< owrtz Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For SMIH Capital Inc.. hereinafter referred to as "Claimanf: Andrew R. Han/in, Esq., Doyle, Restrepo, Marvin & Robbins, L.L.P.. Houston, Texas. F