AWARD FINRA DISPUTE RESOLUTION CASE: 10-04222 Wells Fargo Advisors, LLC (Claimant) vs. Robert Mullen (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Grande Junction, CO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 20, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Claipromissory m Data note.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Musachio (Claimant) vs. Ameriprise Financial Services, Inc., Geri Pell, and Paul D. Santucci (Respondents) Case Number: 09-06863 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Michael Musachio, hereinafter referred to as "Claimant": Tab K. Rosenfeld, Esq., Rosenfeld & Kaplan, L.L.P.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00571 Timothy M. Moses Names of the Respondents Hearing Site: Richmond, VA Wells Fargo Advisors, Inc. Virginia C. Bowie Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Timothy M. Moses, hereinafter referred to as "Claimant": Robert L. Isaacs, Esq., Robert L Isaacs, P.C., Richmond, VA

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-02494 Helen Cohen Living Trust A, Claudia Powell, Trustee Ad Litem Helen Cohen Living Trust B, Claudia Powell, Trustee Ad Litem Name of Respondents Hearing Site: San Diego, California SECU Brolcerage Services, Inc., a.k.a. XCU Capital Corp., Inc. James Benito Trujillo Name of Third-Partv Claimant SECU Brokerage Sen/ices, Inc.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-00769 Armande Desjariais Respondents Hearina Site: San Diego, California Legacy Financial Services, Inc. Randy B. Weaver R. Lance Will James A. Sheridan Cross-Claimant Legacy Financial Services, Inc. Cross-Respondents Randy B. Weaver R. Lance Will James A. Sheridan Nature of Dispute: Customer vs. Member and Associated Pers

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02023 Tatsuko Wein Name of Respondent Hearing Site: Los Angeles, California Wedbush Morgan Securities, Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Tatsuko Wein, hereinafter referred to as "Claimant": Thomas L. Gourde, Esq., Ray & Gourde, LLP, Irvine, California. Respondent, Wedbush Morgan Securities

Case Number: 10-01253 Hearing Site: Louisville. Kentucky NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Barney, LLC ("Claimant") was represented by Yana Kromo, Esq. and Lauren R. Fox, Esq., Alonso, Andalkar, & l< ahn, PC, New York, New York. Brian W. Dabney ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on or about March 15, 2010. The Submission Agreement of Claiman

AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John Coker vs. Case Number: 10-00351 i-iearing Site: Dallas, Texas Names of Respondents Sterne, Agee & Leach, Inc., i-TRADEdirect.com Corporation, and Kenneth Michael Dwyer NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES John Coker ("Claimant") was represented by Allen L. Williamson, Esq., Simpson, B

STIPULATED AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Services Inc. vs. Case Number: 10-02070 Hearing Site: Minneapolis, Minnesota Name of Respondent Edna Jackson NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services Inc. ("Claimant") was represented by James J. McNamara, Esq., Schuyler, Roche & Crisham, P.O., Chicago, Illinois.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02264 Michael G. Turek Name of the Respondent Hearing Site: Baltimore, Maryland Joseph John Lapietra Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Michael G. Turel< , hereinafter referred to as "Claimant," appeared pro-se. For Joseph John Lapietra, hereinafter referred to as "Respondent": Le