AWARD FINRA DISPUTE RESOLUTION CASE: 10-03979 Wells Fargo Advisors, LLC (Claimant) vs. Priscilla Jones (Respondent) REPRESENTATION OF PARTIES: RespondenFor Claimant t appeareappeared d prCarolyo se, n GriffinLaMar, GA , Well . s Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 2, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retenti

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03896 Ellen Jacob, custodian for John Jacob Fitsch/UGMA NY (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Floral Park, NY. For Respondent appeared Stuart T. Rebish, Esq., Bressler, Amery & Ross, P.C., New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 30. 2010 CASE SUMMARY: Claimant asserted the following cause

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vincent A. Cipoilaro (Claimant) vs. iVIorgan Stanley and Co., Inc. (Respondent) Case Number: 10-01290 Hearino Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Vincent A. Cipoilaro, hereinafter refenred to as "Claimant": Michael M. Steinmetz, Esq., Garson, Segal, Steinmetz, Fladgate, LLP, New York, NY. Previously represented

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-02474 Gregory R. Raifman & Susan Raifman, husband and wife, individually and as Trustees for/and on behalf of The Raifman Family Revocable Living Trust; and as beneficial owners and/or assignors of and on behalf of Gekko Holdings, LLC and Helicon Investments, Ltd. Respondents Hearing Site: San Francisco, California Wachovia Securities, LLC Georg

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-05795 Robert A. Axel Wilburn F. McClure, Jr. Name of Respondents Hearing Site: Los Angeles, California Raymond, James & Associates, Inc. Matthew Carter Lowe Michael Edwin Magruder Nature of Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Robert A. Axel ("Axel"), and Wiibum F. McClure, Jr.

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 09-03930 Jesse Gomez Respondents Hearing Site: San Francisco, California Fidelity Brokerage Services LLC LPL Financial Corporation, f/kia Linsco/Private Ledger Corp. SCF Securities, Inc. Nationwide Securities, LLC Cross-Complainant SCF Securities, inc. Cross-Respondent Jesse Gomez Nature of Disputes: Associated Person vs. Members

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of Claimant Case Number: 09-02727 Ronald Woolworth Name of Respondents Hearing Site: Seattle, Washington Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch Private Finance, Inc. Merrill Lynch Bank USA Nature of Dispute: Customer vs. Member and Non-Members REPRESENTATION OF PARTIES Claimant, Ronald Woolworth, hereinafter referred to as "Claiman

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05496 IB Corp Investments and Business Group Name of the Respondent Hearing Site: Nashville, TN Citigroup Global Markets Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For IB Corp Investments and Business Group, hereinafter referred to as "Claimant": Curtis Carlson, Esq., Carlson & Lewittes, P.A.

Case Number: 09-02216 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Renan I. Sugarman, Esq., Renan Sugarman, PC, Chicago, Illinois. Steven E. Farris ("Respondent" or "Farris") was represented by Alan N. Zvibleman, Esq., Capes, Sokol, Goodman & Sarachan, PC, St. Louis, Missouri. CASE INFORMATION The Statement of Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Martin R. Hauptman (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jeffrey Alexander (Respondents) Case Number: 09-07147 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Martin R. Hauptman, hereinafter referred to as "Claimant": Adolph D. Seltzer, Esq., Attorney at Law, New York,