Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04244 Jeffrey T. Haugh Jeffrey T. Haugh as joint tenant with Linda Haugh and on behalf of the Jeffrey T. Haugh Sep IRA Nos. 1 and 2 Linda Haugh Linda Haugh as joint tenant with Jeffrey T. Haugh and on behalf of the Linda Haugh IRA AAA Consulting Mid-Atlantic Anesthesia, P.A. Names of the Respondents Hearing Site: Baltimo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-00819 Julia J. Gibbs Franklin A. Trice, III Names of the Respondents Hearing Site: Richmond, VA Commonwealth Shareholder Services, Inc. John Pasco, 111 Commonwealth Capital Management. LLC First Dominion Capital Corp. Nature of the Dispute: Associated Person vs. Member, Non-Member and Associated Person. REPRESENTATION OF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-03006 Bradford Guthrie Mary Guthrie Names of the Respondents Hearing Site: Birmingham, Alabama Merrill Lynch, Pierce, Fenner & Smith, Inc., Rick Lessley, Harold H. Hays, John Hand, 111, and Robert M. Jurkiewicz Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bradford Guthrie an

stipulated Award FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02356 Wells Fargo Advisors Financial Network, LLC f/k/a Wachovia Securities Financial Networic. LLC Name of Respondent Hearina Site: San Francisco, California Daniel Robert Catone Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors Financial Network, LLC f/k/a Wachovia Sec

Award FiNRA Dispute Resoiution In the Mafter of the Arbitration Between: Claimant Case Number: 09-06881 Shizuko Matsumoto Respondents Hearing Site: San Francisco, California Capital Financial Services, Inc. Kenneth Wayne Burkeft Third-Partv Claimants Capital Financial Services, Inc. Kenneth Wayne Buriceft Third-Partv Respondent George Kiyokatsu Sakamoto Nature of Dispute: Customer vs. Member and Associated Person Member and As

Award F\HRA Dispute Resoiution in the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05896 Peter E. Williams, III Name of Respondents Hearing Site: San Francisco, California Goldman, Sachs and Company Bruce Tenenbaum Gregory E. Downing Magdalene Schmitz Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Peter E. Williams. Ill, hereinafter referred to as "Claimant": Cy

Award FINI^ Dispute Resolution In the Matter of the Aribitration Between: Name of Claimant Case Number: 08-04132 Eari L. Schriver, Jr. Name of Respondent Hearina Site: Seattle, Washington TD Ameritrade, Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Eari L. Schriver. hereinafter referred to as "Claimant": Eari L. Schriver, Jr., pro se, University Place, Washington. Respondent, TD Ameritrade, Inc., hereinaf

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02582 Wells Fargo Advisors, LLC, formeriy known as Wachovia Securities, LLC (Claimant) vs. Allison D. Tarpley (Respondent) vs. UBS Financial Services Inc. (Third-Party Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Todd Ratner, Esq., Park Ratner PLC, Richmond, VA. For Respondent appeared Daniel J. Sheehan, Jr., Esq., Daniel Sheehan & Associates, LLP, Dallas, TX. For Third-Party Respondent appeared Mol

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02507 Ronald J. Avenia (Claimant) vs. Fidelity Brokerage Services, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Danville, PA. For Respondent appeared Meredith A. Faro, FMR LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 24, 2010 CASE SUMMARY.' Claimant alleged damages resulfing from misleading informafion presented in Respondent's educafional video on stop loss or

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Smith Barney LLC, as the successor in interest to Morgan Stanley & Co., Inc. (Claimant) vs. Mara Capital Management, LLC, Ronald Feldstein, Clifford Feldstein, and Kenneth Sitomer (Respondents) Case Number: 09-04130 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant Morgan Stanley Smith Barney LLC, as t