Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Case Number: 09-02224 Chase Investment Sen/ices fka WaMu Investments, Inc. Name of Respondents Hearing Site: Seattle, Washington Dag Olov Magnus Brandfors Joshua James Hummel Teresa C. Herrick Nature of the Dispute: Member vs. Associated Persons REPRESENTATION OF PARTIES Claimant, Chase Investment Services fka WaMu Investments, Inc.", hereinafter ref

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-03016 Vickie Tedesco Parrish, individually and as Trustee of the EB and Vickie Tedesco Family Trust Name of Respondents Hearing Site: Las Vegas, Nevada Jon Leif Erickson Patricia Michelle Fontan-Sorlie Wells Fargo Investments, LLC Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant

Award FINRA Dispute Resolution in the Matter of the Arbitration BebA^een: Alexander Albert Flores and Tiziana Rinaidi (Claimants) vs. Frank L. Davidson and Matthew R. Cox (Respondents) Case Number: 10-03470 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Alexander Albert Flores ("Flores") appeared pro se. Claimant Tiziana Rinaidi ("Rinaidi") appeared pro se. Flores and Ri

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Keegan & Company, Inc. vs. Case Number: 10-02638 Hearing Site: Dallas, Texas Name of Respondent Michael Douglas Venable NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Keegan & Company, Inc. ("Claimant") was represented by Will S. Montgomery, Esq. and William M. Schmitt, Esq., Jackson Walker, LLP, Dallas,

AWARD FINRA Dispute Resolution In the Matter of the Aribitration Between: Name of Claimant Men-ill Lynch, Pierce, Fenner & Smith, Inc. vs. Case Number: 10-01983 Hearing Site: Dallas, Texas Name of Respondent Anthony T. Kemp NATURE QF THE PI8PUTE Member vs. Associated Person REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Claimant") was represented by Gregg W. Marsano, Esq. and Sean G. Duffy, Esq., Rubin, Fortuna

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-03203 Kevin Joseph Schaefer Name of Respondent Hearing Site: San Francisco, California UBS Financial Services Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Kevin Joseph Schaefer. hereinafter referred to as "Claimant": Jason A. Pollack, Esq., Law Office of Jason A. Pollack, Los Angeles, California.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05645 Bobby Karim Panahi Respondents Hearing Site: Los Angeles, California UBS Financial Sen/ices, Inc. Trevis Clint Rucci Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Bobby Karim Panahi, hereinafter referred to as "Claimant": Peter M. Kunstler, Esq., Makarem & Associates, APLC, Los Angeles,

Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Claimants Case Number: 09-07101 The Brown Revocable Living Trust Pamela Joy Brown Respondents Hearing Site: Los Angeles, California Wells Fargo Investments, LLC Patrick Darin Vance Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, The Brown Revocable Living Trust ("Brown Trust") and Pamela Joy Brown ("Brown"), here

Award FINF^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02836 UBS Financial Services Inc. Name of Respondent Hearing Site: Phoenix, Arizona Misty Rae Eslinger Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Sen/ices Inc., hereinafter referred to as "Claimant": Devin A. Donohue, Esq., and Arti L. Bhimani, Esq., Palmer, Lombardi & Donohue LLP, Los

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-04813 Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC Name of Respondent Hearing Site: San Francisco, California Thomas J. DeBono Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC. hereinafter referred to as "Weils Fargo" or "Claimant"