NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 06-00301 Paulson Investment Company Inc., (Claimant) vs. Randy Rene Jones, (Respondent) ATTORNEYS: For Claimant appeared Scott A. Shorr, Esq., of the firm Stoll Stoll Berne Lokfing & Shiachter P.C, Portland, OR. Respondent appeared pro se, Sandy, OR. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 19, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an

Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Kowaichuk, Individually, and on behalf of the Peter Kowalchuk Roth IRA, Evelyn Kowalchuk, Individually, as Trustee U/W/0 Andrew Kowalchuk FBO Peter Kowalchuk, and on behalf of the Evelyn Kowalchuk Roth IRA (Claimants) vs. Patrick Murray, Colin Heafy, Matthew Stroup, and Bear Stearns Securities Corp. (Respondents) Case Number: 05-06162 Hearinq Site: New York, New York

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vera Fernicola (Claimant) vs. Morgan Stanley Dean Witter, Inc. and Kenneth C. Drake (Respondents) Case Number: 04-08012 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Vera Fernicola hereinafter referred to as "Claimant": Jay McDaniel, Esq., McDaniel Law Firm, Upper Saddle River, NJ.

Modified Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anne J. Abbott (Claimant) v. Wachovia Securities, Inc., John B. Snneriglio, Christopher J. Cunningham, and John McKee (Respondents) Case Number: 04-05879 Hearinq Site: Hartford, Connecticut Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Anne J. Abbott hereinafter referred to as "Claimant": Thomas B. Decea, Esq.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-06444 Patricia M. Casson Brian J. Casson Name of Respondents Hearina Site: Denver, Colorado Community Bankers Securities, LLC Thomas B. Miller Nicholas Dean Skaltsounis James Marvin Mitchell John Brady Guyette Nature of Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Patricia M. C

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 10-00773 Wells Fargo Investments, LLC Respondent/Counter-Claimant Hearing Site: San Francisco, California Kenneth C. Shaffer Nature of the Disputes: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wells Fargo investments, LLC, hereinafter referred to as "Clai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. (Claimant) vs. Michael D. Chmielewski (Respondent) Case Number: 09-06381 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets Inc., hereinafter referred to as "Claimant": Cari A. Lewis, Esq., Alonso, Andalkar & Kahn, P.C, New York, NY. Respondent Mic

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02015 Wells Fargo Advisors, LLC (Claimant) vs. Peter Seibert (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared Steven Rosenberg, Esq., Hingham, MA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 27. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agre

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02986 Mary P. Cascio (Claimant) vs. National Planning Corporation and Eric Bond (Respondents) REPRESENTATION OF PARTIES: ~ Claimant appeared pro se, Lakewood, CA. For Respondents appeared Chad Weaver, Esq., Edgerton and Weaver, LLP, Hermosa Beach, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 25, 2010 CASE SUMMARY: Claimant asserted the following causes of action:

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03010 Wells Fargo Advisors, LLC (Claimant) vs. Michael Gant (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 28, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of ClaiRetentiom Datn a Awa