Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 09-03872 Magaly B. Thrasher Jerold & Magaly Thrasher Trust Sean R. Bums UTMA/CA Name of the Respondents Hearing Site: Los Angeles. California Morgan Stanley & Co. Inc. Morgan Stanley Smith Barney Bmce Edward Hallenbeck Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES Claimants Magal

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Name of the Claimants Case Number: 10-02691 Ellen E. Feduniw The Feduniw Family Trust of 2005 DTD 9/29/05 Estate of Edward J. Feduniw Name of the Respondents Hearing Site: Los Angeles, Califomia Crowell, Weedon & Co. Charies David Carpenter Caleb Nathaniel Russell Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 10-03000 Glen D. Robertson Susan L. Robertson Edith C. Robertson Sheri Lewis-Sorensen John M. Sorensen Name of Respondents Hearing Site: San Francisco, California Securities America, Inc. Gelormini Financial Advisory Paul Otto Gelormini Nature of Dispute: Customers vs. Member, Associated Person, and Non-Member REPRESENTATION

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants/Counter-Respondents Shiomo Epiboim Michael A. Poutre, II EP Acquisition Corp. Respondents/Counter-Claimants Maxxtrade, Inc. Jeff Matthew Garstka Myron D. Schneidt Case Number: 09-03761 Hearing Site: Los Angeles, Califomia Nature of the Disputes: Associated Persons and Non-Member vs. Member and Associated Persons Member and Associated Persons vs.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00222 Samuel A. Ramirez & Co., Inc. Name of the Respondent Hearing Site: San Juan, Puerto Rico Jean Cario Hernandez Resales Nature of the Dispute:' Member vs. Associated Person. REPRESENTATION OF PARTIES For Samuel A. Ramirez & Co., Inc., hereinafter referred to as "Claimant": Carios Jose Onetti-lziarry, Esq., Carios Jose Onetti-lziar

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Thomas J. Hillman Family Trust vs. Nannes of Respondents UBS Financial Services, Inc. and Bemard King Case Number: 09-02365 Hearing Site: St Louis, Missouri NATURE OF THE PISPUTg Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Thomas J. Hillman Fanilly Trust ("Clairtiant'' or "Family Trust") was represented by Mari< E. Goo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01084 Susan Trump, individually, and as Trustee of the SC Trump 2004 Trust. The Charles and Virginia Konjoyan Trust, The Hudson Bay Seafood Age Weighted Profit Sharing Plan, The Susan C. Trump IRA, and The Susan C. Trump Roth IRA Name of the Respondents Hearing Site: San Diego, California Molly Jo Miller Jeffrey Scott McCoy

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04360 Wells Fargo Advisors Financial Networi< , LLC (Claimant) vs. Joseph A. Jackson (Respondent) REPRESENTATION OF PARTIES: For Claimant: Stephen D. Burns, Esq., Fiore & Levine, PLLC, Ariington, Virginia. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 27, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note dated M

Case Number: 09-00846 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES William Morehead, Jr. and Ratree Luesiri ("Claimants") were represented by Richard Sacks and Tanya Sacks, Investors Recovery Services, Novate, California. Wachovia Securities, LLC ("Wachovia"), Donald William Elster ("Elster"), Marco Brian Lloyd ("Lloyd"), and John David Caram ("Caram"), hereinafter collectively refer

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant First Southwest Company vs. Case Number: 09-06640 Hearing Site: Dallas, Texas Name of Respondent Wells Fargo Advisors, LLC NATVRg OF THE PI^PUTE Member vs. Member REPRESENTATION OF PARTIES First Southwest Company ("Claimant" or "FSC") was represented by Christopher R. Richie, Esq., Sessions, Fishman, Nathan & Israel, LLP, Dallas, Texas. Wells