AWARD FINRA DISPUTE RESOLUTION CASE: 09-01884 Michael M. Metis (Claimant) vs. UBS Financial Services. Inc., and John Fitzpatrick (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared W. Alexander Melbardis, Esq., East Setauket, NY. For Respondents appeared Jon D. Kaplon, Esq., UBS Financial Services, Inc., Weehawken, NJ. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 6, 2009 CASE SUMMARY: Claimant asserted

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: TD Banknorth, NA (Claimant) vs. National Planning Corporation and Jeffrey P. Davis (Respondents) Case Number: 07-02564 IHearina Site: Hartford, Connecticut Nature of the Dispute: Non-Member vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant TD Banl^north, NA, hereinafter referred to as "Claimant": Melvin A. Simon, Esq.. and Thomas W. Witherington, Esq., Cohn Bi

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02281 Fayed O. Fayed (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Parkland, FL. For Respondent appeared John Bersin, E*Trade Securities LLC. Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 24, 2009 CASE SUMMARY; Claimant alleged a loss resulting from illiquidity of investment sold to him. The cause of action relates to Calamus

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01272 David Starl^son (Claimant) vs. Princor Financial Services Corporation (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Glendale, AZ. For Respondent appeared Ann Hudson, Princor Financial Sen/ices Corporation, Des Moines, lA. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 6, 2009 CASE SUMMARY; Claimant alleged that Respondent failed to complete his unscheduled transfer request

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Francois Albert Pages (Claimant) vs. Calyon Securities (USA) Inc. (Respondent) Case Number: 08-01653 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Francois Albert Pages hereinafter referred to as "Claimant": Chaya F. Weinberg-Brodt, Esq., and Mollis Gonerka Bart, Esq., Withers Bergman LLP, New York, NY.

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Phyllis Andriani. Individually and as Tmstee of the Marital Trust and Non-Marital Trusts Under the Will of Salvatore Andriani (Claimants) vs. Wachovia Securities. LLC, and Morgan Stanley & Co., Inc. (Respondents) Case Number: 08-04451 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Members. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02527 Frances Meyers (Claimant) vs. Wachovia Securities, LLC (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Howard Meyers. Esq.. New York Law School Legal Services, Inc., New York, NY. For Respondent appeared Brent J. Burtin, Esq , Wells Fargo Advisors, LLC. St. Louis. MO. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 5, 2009 CASE SUMMARY: Claimant asserted the following causes of act

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Karen Muto Kennedy, Simplified Employee Pension Account, Karen Muto Kennedy. Tmstee of Managed Account, Karen Muto Kennedy, Roth IRA Account, and Karen Muto Kennedy, Trustee RMA Account vs. Case Number. 08-03766 IHearing Site: Chicago, Illinois Name of Respondent UBS Financial Sen/ices, Inc. Customers vs. Member Karen Muto Kennedy, Simp

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants RMD Family Ltd. Partnership, The Robert J. Rotenberg 2002 Irrevocable Trust, and Tonka Lai^es LLC vs. Names of Respondents Deutsche Bani^ Securities, Inc. and Deutsche Bank Alex. Brown Case Number: 08-02240 IHearing Site: Minneapolis, Minnesota 'E DISPUTE Customers vs. Member and Non-Member REPRESENTATION OF PARTIES RMD Family Ltd. Part

Award FINRA Dispute Resolution in the IVIatter of the Arbitration Between: Robert Irvine Logan (Claimant) vs. EKN Financial Services, Inc., and Anthony Amos Inkumash (Respondents) Case Number: 09-00228 Hearing Site: New Yori^, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Robert Irvine Logan hereinafter collectively referred to as "Claimant" appeared prose. Respondents EKN Financial S