AWARD FINRA DISPUTE RESOLUTION CASE: 08-04765 Norman Stoil, by and through Tina Stoll, as attorney-in-fact (Claimant) vs. Smith Barney. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jon V\. Patterson, Esq., Battle, Fleenor, Green, Winn and Clemmer, LLP, Birmingham, AL. For Respondent appeared Joseph L. Calabrese, Esq.. Citigroup Global Mari^ets, Inc., New Yori^, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 1

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-00243 Jimmy Macl< Biiger and Jeanne K. Bilger (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared James A. Dunlap, Jr., Esq., James A. Duniap and Associates LLC. Atlanta. GA. For Respondent appeared Evelyn A. Christensen, Esq.. Keesal. Young and Logan, Long Beach, CA. NATURE OF DISPUTE: Customers v. IVIember DATE FILED: January 14. 2009 CASE SUMI\^AR

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Name of the Claimant Case Number 08-04957 Sally Gels Name of the Respondent Hearing Site: Denver, Colorado Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Sally Gels hereinafter referred to as "CiaimanT: Jim Gels, Golden, Cotorado Respondent Charies Schwab & Co., Inc. hereinafter referred to as "RespondenT: Se

Award FINRA Disputa Resolution In tire Matter of the Arbttration Between: Claimant Case Number. 07-02582 Wells Fargo Investmente, LLC Respondent Hearing Stte: San Frandsco, Califomia Eun-Joo Chang Counter-Claimant Eun-Joo Chang Counter-Respondent Wells Fargo Investments, LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent. Wells Fargo Invest

Award FINRA Dispiit» RMdutlon In the Matter of the Arbttratton Between: Name of the Clalmanta Case Number 08-02954 Ketth R. TtKxnpaon, Charies Schwab & Co., Inc. Cust, IRA Contributory and Owen A. Thompson, Charies Schwab & Co., Inc. Cust, IRA Contributory Name of the Respondents Hearing Site: Boise, Idaho Charies Schwab & Co., Inc. and Craig S. Weasels Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATIOW O

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-04006 Peak Securities Corporation Respondents Hearing Site: Los Angeles, Califomia Bruin Industries, Inc. Gregg Mulholland Nature of the Dispute: IVIember vs. Customers REPRESENTATION OF PARTIES Claimant Pealc Securities Corporation hereinafter referred to as "Claimant": Chad Weaver, Esq.. Edgerton and Weaver, LLP. Hermosa Beach, Califbmia.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-01491 Crystal L. Phalen BradA. Phalen ChattW. Cottle Jennifer M. Cottle Respondente Hearing Site: Dallas, Texas World Group Securities. Inc. James Wayne Alldredge Gary Charles Farmer Charles Arnold Carter Robert Vincent Newman Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Cla

Award HNRA Dtepute Reaolulion in the Matter of the Arbitration Between: Name of the Claimant Case Number. 09-01339 Oppenhelmer & Co. inc. Name of the Reaoondent Hearino Site: LAS Angetes, CalHomte Elyahou Asherian Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant Oppenhelmer & Co. Inc. hereinafter referred to as "Oppenhelmer^: Mitchell Albert, Esq.. Albert & WHI, LLP, Tonanoa, Califbmia Respondent Elyahou Asher

Award FINRA DIaputo Resolution in the Matter of the Arbitration Between: Name of ttie Claimant: Case Number 08-00450 Raymond James & Associates, Inc. Name of the Respondent: Hearing Site: Los Angeles, California Robert A. Lot)el Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Kelli Bullington, Esq., Raymond James & Associates, inc.,

Award RNRA DIaputo Rasdutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number, 08^1325 Olivia E. Hennan Name of the Raaoondents Hearino Site: San Francisco, Callfbmia Charies Schwab & Co., Inc. Colleen Mary Langs and Marda IHaricer Novicic Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Olivia E. Herman hereinafter referred to as "Claimant": Fredericic Herman,