Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-04284 John P. Mills Judith E. Mills Name of Respondent Hearing Site: Seattle, Washington Wachovia Securities, a Limited Liability Company n/k/a Wells Fargo Advisors, LLC Nature of Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, John P. Mills and Judith E. Mills, hereinafter collectively referred to as "Claimant

AWARD FINRA Dispute Resolution In the Matter of the Arisltratlon Between: Name of Claimant Melba Kay Fredericks vs. Names of Respondents The Bank of Edwardsville, Uvest Financial Sen/ices Group, Inc., and Bradford Wayne Sharpe Case Number: 10-01365 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Associated Person vs. Member, Associated Person and Non-Member REPRESENTATION QF PARTIES Melba Kay Fredericks ("Claimant") was re

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-04962 Banc of America Investment Services, Inc. n/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondent/Counter-Clalmant Hearing Site: Portland, Oregon Paul R. Erenfeld Nature of Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/C

stipulated Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-06522 Oppenheimer & Co., Inc. Name of Respondent Hearing Site: Los Angeles, Califomia Mark L. Monin Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimanf: Michael J. Albert, Esq.. Albert & Will, LLP, Tonrance, Califomia. Respondent Ma

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Hobart S. Geer (Claimant) vs. Warren Howard Rivetz and Citigroup Global Markets, Inc. (Respondents) vs. Mary Ellen Selgrad, Trustee of Estate of Hobart S. Geer (Third-Party Respondent) Case Number: 09-04948 Hearing Site: New York, New York Nature ofthe Disputes Initial Claim: Customer vs. Associated Person and Member. Third-Party Claim: Member and Associated Person

Award FiNRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 09-06760 Hathaway Family Holdings, LLP, David S. Hathaway, G.P. Names of the Respondents Hearing Site: Atianta, Georgia Morgan Stanley Smith Barney, LLC Dearing Francis Stone, III Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Hathaway Family Holdings, LLP, David S. Hathaway, G.P., here

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05459 Morgan Stanley Smith Barney LLC (Claimant) vs. Denise G. Often (Respondent) REPRESENTATION OF PARTIES: For Claimant Morgan Stanley Smith Barney LLC, Mauricio S. Beugelmans, Esq., Hand Baldachin Amburgey LLP, New York, NY. Respondent Denise G. Often did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: December 3, 2010 CASE SUMMARY: Claimant asserted the fo

AWARD Award Data Award: $25,000.00 Punitive: $0.00 Pre-judgment Interest: $0.00 Post-judgment Interest: at the rate of six percent (6%) per annum from the date of issuance of the Award until the date of payment of the Award Attorneys' Fees: $0.00 Costs: $425.00 Denied Denied Denied Denied AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follo

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Andrew G. Gay, Sr. (Claimant) vs. Bestvest Investments, Ltd. (Respondent) Case Number: 10-00859 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Andrew G. Gay, Sr., hereinafter referred to as "Claimant": W. Scott Greco, Esq., Greco & Greco, P.C. McLean. VA. Respondent Bestvest Investments. Ltd., hereinafter re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Douglas J. Beach and Margaret A. Beach (Claimants) vs. Banc of America Investment Services, Inc. (Respondent) Case Number: 09-06108 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimants Douglas J. Beach ("D. Beach") and Margaret A. Beach ("M. Beach"), hereinafter collectively referred to as "Claimant": Howard M. Rosen