Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00008 Merrill Lynch, Pierce, Fenner & Smith Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Eric Matheson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTiES For Merrill Lynch, Pierce, Fenner & Smith Inc., hereinafter referred to as "Claimant": Michael J. Fortunate, Esq., Rubin, Fortunate & Har

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02380 Wells Fargo Advisors Financial Networi< , LLC, f/k/a Wachovia Securities Financial Networic, LLC Name of the Resoondent Hearing Site: San Francisco, California Michael Gibson Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors Financial Network, LLC, f/k/a Wacho

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01147 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of Respondent Hearing Site: Los Angeles, California Gregg William Whelan Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as WA " or "Claiman

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05045 UBS Financial Services Inc. (Claimant) vs. Alma Alcoser (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Megan A. Smith, Esq., Schuyler, Roche & Crisham, P.O., Chicago, IL. For Respondent appeared Freddy B. Ruiz, Esq., Law Offices of Wheeler & Ruiz, San Antonio, TX. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 5. 2010 CASE SUMMARY: Claimant asserted the following c

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants William Brown, Norman L. Wemhoff, and Tamra S. Wemhoff vs. Case Number: 09-06774 Hearing Site: Dallas. Texas Names of Respondents Private Asset Group, Inc.. Burke Ambrose Dambly, Daryl Marc Holzberg, and James Matthew Walsh NATURE QF THE PISPUT5 Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES William Brown

AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Hurshel Tyler and His Wife Mildred Tyler, By and Through Her Power of Attorney Bill Tyler vs. Case Number: 10-02162 Hearing Site: Dallas, Texas Names of Respondents Raymond James Financial Services, Inc. and LPL Financial Corporation NATURE OF THE DISPUTE Customers vs. Members Public Arbitrator Pilot Program ~ All Public Panel REPRESENTATIO

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 09-04108 RBC Wealth Management, a division of RBC Capital Markets Corporation (fomnerly known as RBC Dain Rauscher Inc.) Respondent/Counter-Claimant Hearing Site: Los Angeles, California William L. Creedon Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent, RBC Wealth Manageme

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-02831 Richard E. Schreiber IRA and Richard E. Schreiber, personally and on behalf of The Richard E. Schreiber Retirement Trust Respondents Hearing Site: Los Angeles, California Charles Schwab & Co., Inc. The Charles Schwab Corporation Chartes Schwab Investment Management, Inc. Nature of the Dispute: Customers vs. Member and Non-Members R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05174 Gary Sperber Name of Respondents Hearing Site: San Francisco, California Prestige Financial Center, Inc. Lawrence Foont Lawrence Gary Kirshbaum Hanry Friedman Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Gary Sperber, hereinafter referred to as "Claimant": Barry M. Bordets

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-03122 Michael Fulda & Rivka Fulda Ten Ent Michael D. Fulda Names of the Respondents Hearing Site: Baltimore, Maryland Avi Greenlinger Avigail Benderly Rosemore Morgan Stanley & Co. Incorporated Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Michael Fulda & Rivka Fulda Ten Ent ("Fu