Case Number: 10-01332 Hearing Site: St. Louis. Missouri NATURE OF THE OlgPUTS Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC ("Claimant") was represented by Renan I. Sugannan. Esq., Renan Sugarman, PC, Chicago, Illinois. Walter McKinney ("Respondent') was represented by Graham Oswald, Esq., The Oswald Law Firm, LLC, Manchester, Missouri. CASE INFORMATION The Statement of Claim was filed on or about March 9,2010. The

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01650 RBC Capital Markets Corporation Respondent Hearing Site: Raleigh, NC Cecil Creasy Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For RBC Capital Markets Corporation (RBC), hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., Mc Canliss & Early, LLP, New York, NY. For Cecil Creasy (Creasy) herein

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06544 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Respondent Hearing Site: Baltimore, Maryland Daniel Miyamoto Nature of the Dispute: Member vs. Associated Person, REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Flore & Levine

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02460 Harry M. Leete Respondent Hearing Site: Raleigh, North Carolina G.A. Repple & Company Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Harry M. Leete, hereinafter referred to as "Claimant": Andrew O. Whiteman, Esq., Hartzell & Whiteman, LLP, Raleigh, North Carolina. For G.A. Repple & Company, hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02651 LPL Financial Corporation Respondent Hearing Site: Raleigh, North Carolina Robert S. Shigley Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For LPL Financial Corporation, hereinafter referred to as "Claimant": Jeffrey K. Compton, Esq. and Julia Longjohn, Esq., Markun Zusman & Compton LLP, Pacific Palisade

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas liko (Claimant) v. Kershner Securities, LLC (Respondent) Case Number: 10-02344 Hearing Site: Hartford, Connecticut Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Thomas lIko, hereinafter referred to as "Claimant" appeared pro se. Respondent Kershner Securities, LLC, hereinafter referred to as "Respondent": David A. Shargel, Esq., B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Matthew Scoble (Claimant) vs. Blaylock & Partners. L.P. (Respondent) Case Number: 09-06485 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Matthew Scoble, hereinafter referred to as "Claimant": Matthew J. McDonald, Esq., Liddle & Robinson. L.L.P., New York, NY. Respondent Blaylock & Partners. L.P.. hereinaf

Award FINRA Dispute Resolution In tiie Matter of the Arbitration Between: Brady Elias (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Jeffrey Alexander (Respondents) Case Number: 10-01112 Hearing Site: New Yorlc, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Brady Elias, hereinafter referred to as "Claimant": Adolph D. Seltzer, Esq., Attorney at Law, New York, NY. Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charies A. Stokes and Mary E. Stokes, Joint Tenants (Claimants) vs. Charies Schwab & Co., Inc. and Kimon P. Daifotis (Respondents) Case Number: 09-05785 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Charies A. Stokes ("C. Stokes") and Mary E. Sokes (M. Stokes"), Joint Tenants, hereinafter col

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-06016 Raul Nobili, as Trustee of the Raul Nobili Trust U/A DTD 11/02/99, and as Custodian of the Ashley Nobili UFLUTMA and Corinne Nobili UFLUTMA Respondents Hearing Site: Miami, FL Charies Schwab & Co., Inc. Kimon P. Daifotis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTiES For Raul Nob