AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant A. Gary Kovacs vs. Name of Respondent LPL Financial Corporation Case Number: 08-01287 Hearing Site: Houston, Texas Associated Person vs. Member A. Gary Kovacs ("Claimant") was represented by Brian E. Bro, Esq., Law Offices of Brian E. Bro, Houston, Texas. LPL Financial Corporation ("Respondent") was represented by N. Nancy Ghabai, Esq. and David

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimants Gary Bamett Stephanie Barnett Name of the Respondents Gregory S. Garson Capital Partners, LLC First Allied Securities, inc. CPG Investments, LLP Kenneth Gordon, Jr. Name of the Counter-Claimants First Allied Securities, inc. Gregory S. Garson Name of the Counter-Respondents Gary Bamett Stephanie Bamett Case Number 06-04285

Award RNRA Dispute Resolution In the Matter of the Arbttration Between: Name of the Claimant Case Number 08^3424 Ronald L. Pelley Name of the Respondent Hearing Site: l^s Angeles, Califbmia Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Ronald L. Pelley, hereinafter refened to as "CiaimantT: Jonathan W. Evans, Esq. and Michael Edmiston, Esq., Jonathan W. Evans & Associates, Studio Cit

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04706 Dennis Dipple (Claimant) vs. Merrill Lynch. Pierce, Fenner & Smith, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Grand Forks, ND. For Respondent appeared Marcia W. Pratt, Esq., Maynard, Cooper & Gale, PC, Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 4, 2009 CASE SUMMARY: Claimant requested the following relief: consequential damages caused by inabi

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04322 Kevin D. Balsley (Claimant) vs. Garry Richard Nichols (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Richardson, TX. For Respondent appeared Courtney R. Reid. Esq.. Ameriprise Financial Services. Inc., Minneapolis. MN. NATURE OF DISPUTE: Customer v. Associated Person DATEFILED: July 18. 2009 CASE SUMMARY: Claimant asserted the following causes of action: unsuitability, unauthorized

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04172 Mustafa Amanatullah (Claimant) vs. TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Diego, CA. For Respondent appeared John L. Erikson, Jr.. Esq, Los Angeles, CA and Catherine L. Luth, Esq., TD Ameritrade, Inc., Omaha. NE. NATURE OF DISPUTE: Customer v. Member DATEFILED: July 10, 2009 CASE SUMMARY: Claimant asserted the following cause of action: negligence. Cl

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03765 Randel Kendall. Individually and as Trustee of the Kendall Family Living Trust Under Agreement dated 10/28/03 (Claimants) vs. Morgan Stanley & Co., Incorporated (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Seth L. Hanson. Esq., Roseville. CA. For Respondent appeared Braden O. Wilhelm, Esq., Morgan Stanley Smith Barney LLC, San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DAT

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03565 Main Street Securities, LLC (Claimant) vs. Jack Allen Burkhart (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Rodney K. Vincent, Esq., Vincent Law Office, Lincoln, NE. Respondent appeared pro se, Lees Summit, MO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 8, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. ARBITRATOR'S REPORT: The

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03315 Sandra Vincent (Claimant) vs. Ferris Baker Watts and Its Successor in Interest, RBC Dain Rauscher (a/k/a) RBC Wealth Management and Richard Alan Fishbach (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey A. Sellers, Esq.. Coconut Creek, FL. For Respondents appeared Daniel J. Donovan, Esq., Donovan & Rainle, LLC, Baltimore, MD. NATURE OF DISPUTE: Customer v. Members and Associated Person

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01931 Ellen Baron (Claimant) vs. Banc of America Investment Services. Inc., and Mark l-tolland (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared William S. Bonnheim, Esq., William S. Bonnheim, PLC, Palm Desert. CA. For Respondents appeared John Bamford. Esq., Fulbright & Jaworski. L.L.P.. Los Angeles. CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 8, 2009