Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Name of the Claimant Case Number: 08-04342 Dean Alexander Bordelon fsiame of the Respondent Hearino Site: New Orieans, Louisiana Royal Alliance Associates, Inc. Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES For Dean Alexander Bordelon, hereinafter referred to as "Claimant": Bryan Forman, Esq., Forman Law Firm, P.C., Tyler, Texas and Josep

stipulated Award FINRA Dispute Resolution In the Matter of the Ari3ltration Between: Name of the Claimant Case Number 09-00383 JNG Consulting. LLC Names of the Respondents Hearing Site: Boca Raton, Florida Dawson James Securities, Inc. Ari( Financial Services, Inc. Frank Nicholas Salvatore Douglas Fulton Kaiser Thomas K. Field William A. Fox Thomas W. Hands Robert Dawson Keyser, Jr. Albert James Poliak Nature of the Disput

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Howard L. Schultz Estate of Merle C. Schultz Names of the Respondents Professional Asset Strategies, LLC Charies Schwab & Co., Inc. Norman Berk, an individuai Names of the Third-Partv Respondents The Charles Schwab Corporation Andrew David Petrofsl< y Maureen Schultz Petrofsky Case Number: 08-04641 Hearing Site: Binningham, Alabama

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 08-03304 Oppenhelmer & Co. Inc. Name of the Respondent Hearing Site: Fort Lauderdale, Florida Sandra A. David-Siller Nature of the Dispute: Member vs. Associated Person. For Oppenhelmer & Co. Inc., hereinafter referred to as "Claimant": Cory S. Zadanosky, Esq., Zadanosky & Associates, P.A., Lake Worth, Florida. Sandra A. David

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Indian River Management, LLC Names of the Respondents Private Capital Management, LLP Charies Atkins Teresa Doane Case Number 09-02901 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Associated Person and Non-Member. REPRESENTATION OF PARTIES For Claimant Indian River Management. LLC. hereinafter refened to as "Claimant":

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00868 Robert John Klein ("Claimant") vs. TIAA-CREF ("Respondent") REPRESENTATION OF PARTIES: For Claimant Robert John Klein: John F. Hanzel, Esq., John F. Hanzel, P.A., Cornelius, North Carolina. For Respondent TIAA-CREF: Felicia Washington, Esq., K&L Gates, LLP, Chariotte, North Carolina. NATURE OF DISPUTE: Associated Person v. Member. DATE FILED: February 18, 2009. CASE SUMMARY: Claimant asserted the

AWARD FINRA Dispute Resolution In the Matter of the Art)*itration Between: Name of Claimant Alan Stroup vs. Case Number: 07-03122 Hearing Site: Detroit, Michigan Name of Respondents GunnAllen Financial, Inc., Frank J. Bluestein, Questar Capital Corporation, Maximum Financial Group, Inc., and F.F., Inc. and Name of Cross-Claimant GunnAllen Financial, Inc. vs. Name of Cross-Responderrt Questar Capital Corporation and

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Renwood Erickson vs. Case Number: 08-03602 Hearing Site: Minneapolis. Minnesota Name of Respondent Charles Schwab & Company, Inc. 'g DISPUTE Customer vs. Member REPRESENTATION QF PARTIES Renwood Erickson ("Claimant") was represented by Brian Levin, Esq., Dimond Kaplan & Rothstein. PA, Miami, Florida. Charies Schwab & Company, Inc. ("Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark Leventhal, Jelco. Inc., John E. Ligums, Sr., and John E. Ligums, Jr. (Claimants) vs. Penson Financial Services, Inc., Empire Financial Group, Inc., Jesup & Lamont Securities Corp., and Donald A. Wojnowski. Jr. (Respondents) Case Number: 08-00836 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04953 Royal Alliance Associates. Inc (Claimant) vs. Jacqueline L. Hanson-Shea tResponder^tl REPRESENTATION OF PARTIES: For Claimant appeared Barry R. Temkin. Esq.. Mound. Cotton, Wollan & Greengrass, New York, NY. Respondent appeared pro se, Leesburg, VA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 14, 2009 CASE SUMMARY; Claimant asserted the following causes of action: breach of contract