Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-03821 Angela C. Kamahi Isaac Kamahi Respondents Hearing Site: San Diego, California Banc of America Investment Services, Inc. Matthew Beard Lord Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Angela C. Kamahi and Isaac Kamahi, hereinafter collectively referred to as "Claimants": G. Mark

Stipulated Award FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06168 Wells Fargo Advisors, LLC (f/k/a Wachovia Securities, LLC) Name of the Respondent Hearing Site: San Francisco, California Peter Bell Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC (f/k/a Wachovia Securities, LLC), hereinafter referred to as "Claim

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jean E. i-iughes vs. Case Number: 07-01043 Hearing Site: IHouston, Texas Name of Respondent Cantor Fitzgerald & Co. NATURE QF THE PI§P»TE Associated Person vs. Member REPRESENTATION OF PARTIES Jean E. Hughes ("Claimant" or "Hughes") was represented by Hal K. Gillespie, Esq. and Joseph Gillespie, Esq., Gillespie, Rozen, Watsky & Jones, PC, Dallas,

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Louis E. Liies vs. Name of Respondent Morgan Keegan & Company, inc. Case Number: 09-04638 i-iearing Site: IHouston, Texas NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Louis E. Liles ("Claimant") was represented by James A. Dunlap, Jr., Esq., James A. Dunlap, Jr. & Associates, LLC, Atlanta, Georgia. Morgan Keegan & Compa

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Lerner Associates. Inc. (Claimant) v. David Asulin (Respondent) Case Number: 10-04194 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant David Lerner Associates, Inc., hereinafter referred to as "Claimant": Michael G. Shannon, Esq., Thompson Hine LLP, New York, NY. Respondent David Asulin, her

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04316 Lehman Brothers Holdings Inc., as assignee of Lehman Brothers Inc. (Claimant) vs. John Carson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Victor A. Machcinski, Jr., Esq., Krebsbach & Snyder, P.O., New Yorl< . NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Non-Member v. Associated Person. DATE FILED: September 24. 2010. CASE SUMMARY: Claimant asserted the

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05236 Gilbert Anthony Kuta Names of the Respondents Hearing Site: Washington. D.C. RBC Capital Markets LLC Patrick James Vaughan Shannon Moran Sorensen Walter Michael Crowell Todd Wayne Schnell John Taft Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gilbert Ant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01296 AXA Advisors, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Danny Robert Miller Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For AXA Advisors, LLC, hereinafter referred to as "Claimant": Kenneth O'Connor, Esq. and Don R. Boswell, Esq., Lubiner & Schmidt, LLC, Cranford, New Jersey.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06316 Joseph J. Bevllacqua, as Trustee of the Joseph J. Bevilacqua Trust dated 7/07/1999 Name of the Respondents Hearing Site: Los Angeles, California Wells Fargo Investments, LLC Thoeurn Indy Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Joseph J. Bevilacqua, as Trustee o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01292 Citigroup Global Markets, Inc. (d/b/a Smith Barney) Name of the Respondent Hearing Site: Ft. Lauderdale, FL Borders Consulting Services, LLC Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. (d/b/a Smith Barney) ("CGMI"), hereinafter referred to as "Claimant": Catania T. Fac