AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Chariie Johnson vs. Name of Respondent Citigroup Global Markets. Inc. Case Number: 08-03623 Hearing Site: Indianapolis. Indiana NATURE OF THE DISPUTE Customer vs. Member Public Arbitrator Pilot Program / Majority Public Panel REPRESENTATION OF PARTIES Chariie Johnson ("Claimant") was represented by Steven Caruso, Esq., Mari< Maddox, Esq., and

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Juanita H. Malone Cooper, Thomas Thompson, Michael C. Thompson. Valerie Thompson. Heather Thompson Hietpas. Lauren Thompson, Gary J. Siller, and Leslie A. Siller vs. Case Number: 08-03844 Hearing Site: Houston, Texas Names of Respondents Morgan Keegan & Company, Inc., Allen B. Morgan, Jr., Archie W. Willis, III, J. Thompson Welter, Charies D. M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gerard T. Bannan and Concetta O. Bannan (Claimants) vs. Morgan Stanley Smith Bamey, Citigroup Global Markets, Inc. d/b/a Smith Barney, Inc., and Arthur E. Jones, Jr. (Respondents) Case Number: 09-06134 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Gerard T. Bannan ("G. Bannan") and

Award FINI^ Dispute Resolution In the Matter of the Ariaitration Between: Name of Claimant Case Number: 10-03518 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of Respondent Hearina Site: Los Angeles, Califomia Danny H. Vivian Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter refenred to as "Wells Fargo" or "Claimant": Tim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05158 Lynda Adee Name of Respondents Hearina Site: San Francisco, California Wachovia Securities, LLC Wachovia Securities Financial Network Wells Fargo Advisors, LLC Thorolf B. Teigen Wells Fargo Investments, LLC A.G, Edwards & Sons, Inc. Nature of Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES

Avifard FINRA Dispute Resolution In file Matter of the Arbitration Between: Name of Claimant Case Number: 09-02584 Kay Family Revocable Tmst UAD 02/07/90 FBO Lenore Bleadon Under Tmst A Name of Respondent Hearing Site: San Francisco, Califomia Stone & Youngberg LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Kay Family Revocable Tmst UAD 02/07/90 FBO Lenore Bleadon Under Tmst A, hereinafter refenred to as "C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Services, Inc. vs. Case Number: 09-01613 Hearing Site: Detroit, Michigan Name of Respondent Edward F. Walterhouse NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATiQN OF PARTIES UBS Financial Services, Inc. ("Claimant") was represented by Kevin B. Walker, Esq. and Joshua R. Pini, Esq., McElroy, Deutsch, Mulvaney & Carpe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05848 Merrill Lynch, Pierce, Fenner & Smith Incorporated ResDondent Hearina Site: Phoenix, Arizona Jeffrey Michael Stanley Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith incorporated, hereinafter referred to as "Claimant": Rachael Luken Carp, Esq., Rubin, Fortunate & H

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimants Case Number: 09-01338 Ronald S. Beard and Karin G. Paridee-Beard, individually and as trustees of the Beard Living Trust dtd 3/30/1999 Name of the Respondent Hearina Site: Los Angeles, California Citigroup Global Markets Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Ronald S. Beard and Karin G. Paridee-Be

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05470 Wedbush Morgan Securities, Inc. Name of Respondent Hearing Site: Portland, Oregon Knut Ferdinand Eie Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wedbush Morgan Securities, Inc., hereinafter referred to as "Claimant" or "WMS": Charies LaChaussee, Esq., Wedbush Morgan Securities, Inc., Los Angel