AWARD FINRA DISPUTE RESOLUTION CASE: 10-04363 Ismail Jamqua (Claimant) vs. Chase Investment Services Corp. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, West Bloomfleld, Mi. For Respondent appeared Scott R. Koch, Esq., JPMorgan Chase & Co., Chicago, IL. NATURE OF DISPUTE: Associated Person v. IVIember DATE FILED: September 28, 2010 CASE SUMMARY: Claimant alleged that Respondent unethically and illegally deducted his commissions.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert K. Laurent (Claimant) vs. Raymond James Financial Services, Inc. (Respondent) Case Number: 07-02772 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Robert K. Laurent hereinafter referred to as "Claimant": Adam B. Schwartz, Esq., Pashman Stein, P.C., Hackensack, NJ. Previously represented by Samuel J.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-^04969 Morgan Stanley Smith Barney (Clainnant) vs. Jessica Winczner (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Matthew Schurter, Esq., Morgan Stanley Smith Barney^ Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 1, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Brick B. Berglund, Jr. (Claimant) vs. Charles Schwab & Co., Inc., Darren Hinshaw, and Stephen Johnson (Respondents) Case Number: 10-01721 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Eric B. Berglund, Jr., hereinafter referred to as "Claimant": David H. Gibbs, Esq., Suffolk Law Schoo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Smith Barney, LLC (Claimant) vs. Steve K. Shepherd (Respondent) Case Number: 10-02014 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley Smith Barney, LLC, hereinafter referred to as "Claimant": Archie R. Chapinguian, Esq., Lubiner and Schmidt, L.L.C., Cranford, NJ. Respondent Ste

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04283 Wells Fargo Advisors, LLC (Claimant) vs. Tony Barbisan (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Beaverton, OR. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 22, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreement. Claim Dat

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04948 Wells Fargo Advisors, LLC (Claimant) vs. Stephen L. Baxter (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 2, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreement.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael J. Duddy and Nuala C. Duddy, Individually and as Joint Tenants of the Michael and Nuala Joint Account (Claimants) vs. Wells Fargo Advisors, LLC (Respondent) Case Number: 09-07145 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Michael J. Duddy and Nuala C. Duddy, Individually and as Joint Tenants of

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of the Claimant Case Number: 10-00622 John H. McMlckle, Jr. Names of the Respondents Hearing Site: Boca Raton, Florida George P. Moler Merrill Lynch Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES John H. McMlckle, hereinafter referred to as "Claimant," appeared pro se. For Merrill Lynch ("Merrill") and George P. Mole

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number. 09-06647 Rosemary M. Gilbert The Rosemary M. Gilt}ert IRA The Edward S. Gilbert Jr. and Rosemary M. Gilbert Revocable Tmst DTD 12/20/2000 Edward S. Gilbert The Edward S. Gilbert Jr. IRA Laurie Knapp The Laurie Knapp IRA Robin G. Thomas The Robin Gayle Wood Revocable Tmst by Robin Gayle Wood flk/a Robin G. Thomas DTD 9/13/200