AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Esposito Securities, LLC vs. Case Number: 09-06133 Hearing Site: Dallas, Texas Names of Respondents WFG Investments, Inc., Daniel Biaggio, Francis Robert Merrill, Michael Marchand, and Stephen Capurso NATURE OF THE DISPUTE Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Esposito Securities, LLC ("Claimanf or "Esposito Securi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01032 Clarence S. Frisbee Name of Respondent Hearing Site: Helena, Montana Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Clarence S. Frisbee, hereinafter referred to as "Claimant": Clarence S. Frisbee, pro se, Kalispell, Montana. Respondent, Merril

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02435 Succession of Newman Trowbridge, Jr. through its executrix, Lee Trowbridge Respondents Hearing Site: New Orleans, LA Capital One Investment Services, LLC Rick E. Schenck, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Succession of Newman Trowbridge, Jr. through its executrix, Lee

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-03809 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of Respondent/Counter-Claimant Hearing Site: San Francisco, California Ciro Gilbert Cavazos Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wells Fargo Advisors, LLC

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. John J. Ryan (Respondent) Case Number: 07-02619 Hearing Site: New Yori< , New Yori< Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter refenred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, LLC, Cranford, NJ. Respondent John J. Ryan, hereinafter refer

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants First Command Financial Planning, Inc., First Command Bank, and First Command Financial Services, Inc. vs. Case Number: 09-03976 Hearing Site: Dallas, Texas Names of Respondents Kenneth A. Davey, Barry D. Todd, and Doyle Price, Jr. NATURE OF THE DISPUTE Member and Non-Members vs. Associated Persons REPRESENTATION OF PARTIES First Command

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Fidelity Brokerage Services, LLC vs. Case Number: 08-04914 Hearing Site: Chicago, Illinois Name of Respondent James J. Miller, Sr. NATURE OF THE DISPUTE Member vs. Customer REPRESENTATION OF PARTIES Fidelity Brokerage Services, LLC ("Claimant") was represented by Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, P.C., Quinc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John A. Conarpe, Sr. (Claimant) vs. Essex National Securities. Inc. and Timothy J. Bartholomew (IRespondents) Case Number: 10-00882 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John A. Conarpe, Sr., hereinafter referred to as "Claimant": Salvatore D. Feriazzo, Esq., Girvin & Ferlazzo, P.C., Alb

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05274 Morgan Stanley Smith Barney, LLC (Claimant) vs. Christopher Keosseian (Respondent) REPRESENTATION OF PARTIES: For Claimant Morgan Stanley Smith Barney, LLC, Alan S. Brodherson. Esq., Law Office of Alan S. Brodherson, New York, NY. Respondent Christopher Keosseian did not enter an appearance In this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: November 19. 2010 CASE SUMMARY: Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Carole Liotti (Claimant) vs. Morgan Wilshire Securities, Inc.. Woodstock Financial Group.. Inc., and Brian Mandart (Respondents) Case Number: 10-03241 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Carole Liotti, hereinafter referred to as "Claimant": Benedict L. Sliney, Esq., Leventhal and Sli