AWARD FINRA DISPUTE RESOLUTION CASE: 10-03926 LPL Financiat Corporation (Claimant) vs. Michael J. Lingner (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey K. Compton, Esq., Markun Zusman & Compton, LLP, Pacific Palisades, CA. Respondent appeared pro se, Raleigh, NC. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 1, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Representati

AWARD FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of Claimant Angela J. Schwaush vs. Case Number: 09-02882 Hearing Site: Dallas, Texas Names of Respondents UBS Financial Services, Inc., Michael G. Trahan, and Kenneth L. Logsdon NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Angela J. Schwaush ("Claimant" or "Schwaush") was represented by Richard H. Elliott,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Barbara B. Cook, Individually and as Trustee of the Barbara Bush Cook Living Trust vs. Case Number: 09-04933 Hearing Site: St. Louis, Missouri Names of Respondents Stifel, Nicolaus & Co., inc. and AXA Advisors, LLC NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Barbara B. Cook, Individually and as Trustee of the Barbara

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of Claimant/Counter-Respondent Case Number 10-00735 Wedbush Securities, Inc. Name of Respondent/Counter-Ctaimant Hearing Site: Las Vegas, Nevada Tyrone B. Tabak Nature of Dispute: Member vs. Associated Person Associated Person vs. Memk)er REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wedbush Securities, Inc. hereinafter referred to as "Claimanf or "Wedbu

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimants Case Number: 09-06677 Robert Cordaro Lisa Cordaro Name of Respondents Hearina Site: Albuquerque, New Mexico United Securities Alliance, tnc. Michael Washington Jones Patrick Emanuel Sutheriand Ronald Keith Bloomingkemper Ronald James Petrlnovich Forrest Daryl Templeton CapWest Securities, Inc. Nature of Dispute: Customers vs. Members and

Award FINi^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 10-02481 Patricia J. Plesh Name of Respondents Hearing Site: Los Angeles, Califomia Crowell, Weedon & Co. Lloyd William Graham Jay Michael Oldham King Financial Services, tnc. Philip Roger King Royal Alliance Associates, tnc. Citigroup Global Markets, Inc. Lawrence. Preston Ruderman Nature of Dispute: Customer vs. Members and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01654 James M. Mosher Name of Respondent Hearina Site: Los Angetes, Catlfornia Ontario, California Merrill Lynch, Pierce, Fenner & Smith incorporated Nature of Dispute: Former Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, James M. Mosher, hereinafter refen-ed to as "Claimanf: James M. Mosher, in propria persona.

AWARD FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimant Christopher K. Hutchinson vs. Case Number: 10-00380 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Ameriprise Financiat Services, Inc. NATURE OFTHE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Christopher K. Hutchinson ("Claimant" or "Hutchinson") was represented by Brian J. Sommer, Esq., Meyer, Unkovic & Scott, LLP,

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Wachovia Securities, LLC vs. Case Number: 09-02124 Hearing Site: Houston, Texas Name of Respondent/Counter-Claimant Stifel Nicolaus & Co., inc. NATURE OFTHE DISPUTE Member vs. Member REPRESENTATION QF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") n/k/a Wells Fargo Advisors, LLC (successor) was represented by Jack

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04216 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Michael R. Harrill (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Christopher S. Griesmeyer, Esq., Greiman, Rome & Griesmeyer, P.C, Chicago, IL. Respondent appeared pro se, Omaha, NE. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 17, 2010 CASE SUMMARY: Claimant asserted the following cause of