Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-03782 James J. Pine Names of the Respondents Hearing Site: Memphis, Tennessee Wells Fargo Investments, LLC Wells Fargo Advisors, LLC Wells Fargo Securities, LLC Samuel Joseph Jew Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James J. Pine, hereinafter referred to as "Claimant"

Stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Case Number: 09-01369 James H. Jordan. Jr. Name of Respondents Hearing Site: Seattle, Washington RBC Dain Rauscher, inc. Nations Financial Group, inc. Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant James H. Jordan, Jr.. hereinafter referred to as "Claimant": James H. Jonjian, Jr., Esq.. Miller Nash, LLP. Sea

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05461 Wells Fargo Advisors, LLC ("Claimant") vs. John Meacham ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Nicole E. Stadelmaier, Esq., Fiore & Levine, PLLC, Ariington, Virginia. Respondent did not appear in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: December 3, 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. RELIEF REQUESTED:

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02266 Wells Fargo Advisors LLC (Claimant) vs. David P. Wilson (Respondent) REPRESENTATION OF PARTIES: For Claimant: Renan I. Sugarman, Esq., Law Offices of Renan I. Sugarman, PC, Chicago, IL. Respondent did not appear in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: May 11, 2010. CASE SUMMARY: Claimant asserted the cause of action of failure to repay indebtedness. The cause of act

Award FINRA Dispute Resolution In the Matter of tiie Arbiti'ation Between: Name of Claimant/Counter-Resoondent Case Number 10-02304 UBS Financial Services, Inc. Name of Respondent/Counter-Claimant Hearing Site: Phoenix, Arizona Robert S. Swagger Nature of tiie Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent. UBS Financial Services, Inc., hereinafter referred to as "Claimant" or "UBS": Devin A. Donoh

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00943 Juan Carios Carvajal Name of the Respondent Hearing Site: Miami, Florida Banc of America Investment Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Juan Carios Carvajal, hereinafter referred to as "Claimant": V. Michael Arias, Esq., V. Michael Arias P.A., Coral Gables, Florida.

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 11 -00224 Wells Fargo Advisors Financial Network, LLC, f/k/a Wachovia Securities Financial Network, LLC Name of Respondent Hearing Site: Los Angeles, California Marc Frankel Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors Financial Network, LLC, f/k/a Wachovia Securities Fi

Award FINRA Dispute Resolution in the Matter of the Arbitration Behveen: Name of Claimant Case Number: 11-00131 Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondent Hearing Site: San Francisco, Caiifomia Michael V. Moutrey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith incorporated, hereinafter referred to as "Claimant": Larry J. Lipka, Esq.. K

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-00514 Raymond James & Associates, inc. Respondent Hearing Site: San Francisco, California Robert Niel Garff Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Raymond James & Associates, inc., hereinafter referred to as "Claimant" or "Raymond James": Garrett R. Wynne, Esq., Keesai, Young & Logan, San Francisco

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 10-02381 Morgan Stanley Smith Barney Name of Respondent Hearing Site: Los Angeles, California Charies Bradley Daniel Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Barney, hereinafter referred to as "Claimant": Timothy N. Will, Esq., Albert & Will, LLP. Tonrance, California.