Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-05397 Wells Fargo Advisors, LLC f/k/a Wachovia Securities LLC Respondent Hearing Site: Los Angeles, California Gary Headding 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 "Claimant": Michael S. Colombo, CEO, StreetWide Ass

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-06806 John P. Cogan and Jemma J. Cogan JTWROS Name of Respondent IHearinq Site: Seattle, Washington U.S. Bancorp Investments, Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, John P. Cogan and Jemma J. Cogan JTWROS, hereinafter referred to as "Claimant": Lawrence R. Cock, Esq., Cable, Langenbach, Kinerk

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 05-01877 Roger Wheeler and Paul Wheeler under a Power of Attorney for Roger Wheeler Roger Wheeler and Mary Wheeler as Joint Tenants Mary N. Wheeler Name of the Respondents Hearing Site: Los Angeles, California Cardinal Capital Management, Inc. Cardinal Capital.Net, Inc. J.P. Turner & Company, LLC Sterling Financial Invest

Stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number. 09-03810 Banc of America Investment Services, Inc. n/k/a Menrill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondent Hearing Site: Albuquerque, New Mexico Jeffrey Lynn Martin Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Banc of America Investment Services Inc., n/k/a Merrill Lyn

Award FINRA Dispute Resolution In the iVIatter of the Arbitration Between: Name of Clainnant Case Number: 09-02143 Karen E. Rey Name of Respondents Hearing Site: Anchorage, Alaska Wedbush Securities Inc. Thomas A. Packer Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Karen E. Rey, hereinafter referred to as "Claimant": William M. Bankston, Esq., Bankston Gronning O'Hara P.C., Anchorage, Al

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kayvan Karoon (Claimant) vs. Shawn Arlauckas and Newbridge Securities (Respondents) vs. Financial Network Investment Corporation (Third-Party Respondent) Case Number: 07-01334 Hearing Site: Newark, New Jersey Nature of the Dispute: Initial Claim: Associated Person vs. Associated Person and Member Third-Party Claim: Associated Person vs. Member REPRESENTATION OF PARTIES C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George Saltzman (Claimant) vs. Morgan Stanley Smith Barney and Jeffrey Smith (Respondents) Case Number: 09-05489 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant George Saltzman, hereinafter referred to as "Claimant": David F. McComb, Esq., Zan^/in Baum DeVito Kaplan Schaer & To

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eva Crudo and Bridget Crudo (Claimants) vs. Robyn Reagan-O'Hara, Paula Branum, Penson Worldwide, Inc., Penson Financial Services, Inc., SAMCO Financial Services, Inc., SAMCO Capital Markets, Inc., Regal Securities, Inc., Colby & White, LP, WFG Investments, Inc., Willard Henry White, Jr., and James Milton Townsend (Respondents) Case Number: 09-03902 Hearing Site: Newark, New Jersey N

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04125 UBS Financial Services Inc. (Claimant) vs. Shawn Sullivan (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael W. Starr, Esq., Riker Danzig Scherer Hyland & Perretti, Morristown, NJ. For Respondent appeared Steven N. Fuller, Esq., Allen-Fuller, P.A., Manchester, NH. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: September 14, 2010. CASE SUMMARY: Claimant asserted the followin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ahmass Labib Fal< ahany (Claimant) vs. Merrill Lynch & Co., Inc., Merrill Lynch Pierce Fenner & Smith, Inc., John A. Thain, Amnando M. Codina, John D. Finnegan, Joseph W. Prueher, Ann N. Reese, Bank of America Corporation, MER Merger Co., and Banc of America Securities, LLC (Respondents) Case Number: 08-04953 Hearino Site: New York, New York Nature of the Dispute: Associated Person