Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-^2607 Wells Fargo Advisors, LLC Name of Respondents Hearina Site: Los Angeles, Califomia Dennis D. Hildebrandt Dennis D. Hildebrandt Trust U/A dtd 05/25/1999 Nature of Dispute: Member vs. Customers REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": T

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02475 Merrill Lynch, Pierce, Fenner & Smith Incorporated Respondent Hearing Site: Portland, Oregon Joel Bemard Davis Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicag

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-04471 Vallone Family 1985 Trust, Kenneth L. Vallone TTEE U/A DTD 12/13/1985 Respondents Hearina Site: San Diego, California Wells Fargo Advisors, LLC ilkia Wachovia Securities, LLC Victor Alexander Koby Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Vallone Family 1985 Trust. Kenneth L.

Award FINRA Disputa Resoiutlon In the Matter of the Arbitration Between: Name of Claimants Dominic V. Annino, individually and as Trustee of the Dominic V. Annino Trust U/A DTD 12/18/1992 aka DVA Family Trust; and Suzanne Mahoney. as Trustee of Dominic V. Annino Trust U/A DTD 12/18/1992 aka DVA Family Trust Name of Respondents Wells Fargo Investments, LLC Kennon R. Klein Case Number: 09-00339 Hearing Site: Los Angeles, Cal

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01631 Susan M. Manners Name of Respondents Hearing Site: Los Angeles, California Oppenheimer & Co., Inc. Stephen J. Wilshinsky Name of Cross-Claimant Oppenheimer & Co., Inc. Name of Cross-Respondent Stephen J. Wilshinsky Nature of Dispute: Customer vs. Member and Associated Person Member vs. Associated Person REPRESENTATIO

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants IHarriet H. Johnson, Robert Joseph Patton, and Jan Johnson Patton vs. Case Number: 09-06023 Hearing Site: Louisville, Kentucky Names of Respondents Morgan Keegan & Company, Inc., and Joseph Todd Stricldin NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Harriet H. Johnson, Robert Joseph Patton, and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00406 Oppenheimer & Co. Inc. Name of the Respondent Hearing Site: Fort Lauderdale, Florida Van G. Zovluck Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Deborah Dickstein, Esq., Oppenheimer & Co. Inc., New York, New York. Van G. Zovl

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02498 Dean and Tonia Kaufman (Claimants) vs. Interactive Brokers LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, West Conshohocken, PA. For Respondent appeared Juli Ann Aylesworth, Esq., Interacfive Brokers LLC, Greenwich, CT. NATURE OF DISPUTE: Customers vs. Member DATE FILED: May 25, 2010 CASE SUMMARY: Claimants asserted the following cause of action: breach of duty. The cause of ac

AWARD FINRA Dispute Resolution In the Matter of the AriDitration Between: Names of Claimants Ted E. Gaty, III, Ted E. Gaty as Trustee for the Allene Hatch Trust, Annabelle Gaty, Craig Caudill, Individually & as Custodian of his IRA, Jo Ann Caudill, and Allene G. Hatch, Individually & as Custodian of her IRA vs. Name of Respondent Morgan Keegan & Company, Inc. Case Number: 09-04135 Hearing Site: Indianapolis, Indiana NATURE OF THE DISP

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-02258 Nancy Butler Estate of Thomas Warren Butler Name of the Respondent Hearing Site: Nashville, TN Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Nancy Butler and Estate of Thomas Warren Butler, hereinafter collectively referred to as "Claimants": K.O. Herston, Esq., Her