stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) v. Robert J. Hernandez (Respondent) Case Number: 05-05634 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION QF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, LTD., Chicago, I

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-00344 Curt W. Lehner Name of Respondents Hearing Site: Seattle, Washington Alpine Securities Corporation Clark Johnston Todd Lee Groskreutz Brian Reed Peterson Jeffrey Scott Peterson Jonathan Claric Peterson Robert Tew Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Cur

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimants Case Number: 09-05542 Arthur R. Cargill Maryann Cargill Cargill-Beacon Point, LLC Cargill-Manseli Plaza. LLC Respondents Hearing Site: San Francisco. California QA3 Financial Corporation James Robert Files Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Arthur R. Cargill, Maryann Cargill, Cargi

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 08-04477 Wells Fargo Investments, LLC Respondent/Counter-Claimant Hearing Site: Los Angeles, Caiifomia Gregory A. Ramirez Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent Wells Fargo Investments, LLC, hereinafter referred to as "We

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Grupo Intemacional De Asesores, S.A. Respondents Global Financial Services, LLP Ricardo Perusquia Jane Bates Eduardo Bustani Counter-Claimant Global Financial Services, LLP Counter-Respondent Grupo Intemacional De Asesores, S.A. Case Number: 08-02913 Hearing Site: Houston, Texas Nature of Dispute: Customer vs. Member and Associated Per

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The Estate of Lawanda Padgett, Duane Padgett, Personal Representative vs. Case Number: 09-02593 Hearing Site: Oklahoma City, OI< lahoma Name of Respondent Capital West Securities, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES The Estate of Lawanda Padgett, Duane Padgett, Personal Representative ("Claimant") was repre

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Louis Bortolussi, Nina Bortolussi, and Luanne Schafer vs. Case Number: 09-04037 Hearing Site: Detroit, Michigan Names of Respondents Ameriprise Financial Services, Inc. and William L. Bynum NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Louis Bortolussi ("Louis"), Nina Bortolussi ("Nina"), and Lua

AWARD FINRA Dispute Resolution In the Matter Of the Arbitration Between: Name of Claimant/Counter-Respondent Wells Fargo Advisors, LLC f/kJa Wachovia Securities, LLC vs. Case Number: 09-06020 Hearing Site: Houston, Texas Name of Respondent/Counter-Claimant William Edward Livingston Coster NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC ("Claimant") w

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Allyn Husman and JoAnn Husman vs. Names of Respondents Okoboji Financial Services, Inc., Ralph Roberts Schneider, Donahue Edwin Jones, Ronald Allen Kerher, and Dakota Capital Management, LLC Case Number: 09-06559 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customers vs. Member, Associated Persons, and Non-Member REPRESENT

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Keegan & Company, Inc. vs. Case Number: 10-00727 Hearing Site: IHouston, Texas Name of Respondent John IHenry Steams NATURE OF THE DISPUTE Member vs. Associated Person RePRESEHTATlQN PF PARTIES Morgan Keegan & Company, Inc. ("Claimant" or "Morgan Keegan") was represented by Shea O'Brien Hicks, Esq., Morgan Keegan & Company, Inc.