Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01190 Weils Fargo Advisors, LLC Name of Respondent Hearina Site: Seattle, Washington John E. Sandstrom Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Timothy N. Will, Esq., Albert & Will, LLP, Torrance, California. Respo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03836 Dennis E. Flynn IRA Name of the Respondents Hearina Site: Phoenix, Arizona UBS Financial Services, Inc. Bryan C. Dunn Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Dennis E. Flynn IRA, hereinafter referred to as "Claimant": Chris D. Barsi< i, Esq., Barski Drake PLC, Scottsdal

Award FINRA Dispute Resoiution in tiie iVIatter of the Arbitration Between: Name of the Claimant Case Number: 10-02816 Wedbush Securities inc. Name of the Respondent Hearing Site: Los Angeles, California Robert Holmes Gunning Nature of the Dispute: l\/lember vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wedbush Securities Inc., hereinafter referred to as "Wedbush" or "Claimant"; Charles LaChaussee, Esq., Wedbush Securities Inc., L

Stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Case Number: 09-02586 Wachovia Securities, LLC Name of Respondent Hearing Site: Los Angeles, California Nils Tord Banett Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities. LLC, hereinafter refenred to as 'Wachovia" or "Claimant": Timothy N. Will, Esq., Albert & Will, LLP. Torrance. Califo

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03399 Morgan Stanley Smith Barney, LLC (Claimant) vs. Timothy Scanlan (Respondent) REPRESENTATION OF PARTIES: For Claimant: Samuel P. Mauch, Esq., Saretsky Hart Michaels & Gould, PC, Bimiingham. Michigan For Respondent: Respondent was represented by Michael Arounian, Esq., The Law Offices of Stuart D. Meissner, LLC, New Yoric, New York until on or about October 28, 2010. Respondent appeared pro se until James A

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Michael A. Klatte, Klatte Golf Limited Partnership, Michael A. Klatte Charitable Remainder Unitrust, and Klatte Golf Management, Inc. vs. Case Number: 09-02420 Hearing Site: Minneapolis, Minnesota Names of Respondents RBC Capital Markets Corporation, ING Financial Partners, Inc., Nations Financial Group, Inc., Meyers Associates, LP, Victor John

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert K. Brill, Jr. and Agnes K. Brill (Claimants) vs. People's Securities Inc. (Respondent). Case Number: 09-06605 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Robert K. Brill and Agnes K. Brill, hereinafter collectively referred to as "Claimants": Howard M. Rosenfield, Esq., Law Offices of Howard M. Rosen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Diane Reynolds (Claimant) vs. David Dube and Peak Securities Corporation (Respondents) Case Number: 09-05064 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Diane Reynolds hereinafter referred to as "Claimant": Richard D. DeVita, Esq., DeVita & Associates, Hoboken, NJ. Respondents D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Financial Northeastern Securities, Inc. (Claimant) vs. Eric Ratner, Michael J. Kapp, Jr., Greg Taylor, Michele Giampiertro, Andrew Liebe, Evan Quinones, Phillip Auerbach, Jesup & Lamont Inc., and Jesup & Lamont Securities Corp. (Respondents) Case Number: 08-04389 Hearing Site: Newark, New Jersey consolidated with Eric Ratner (Claimant) vs. Financial Northeastern Securities Inc.. Jef

Award FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Claimant Case Number: 09-01102 Linden Pasadena Properties, LLC Respondents Citigroup Global Markets, Inc. Susan Griswold Mamer Hearina Site: Los Angeles, Califomia Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Linden Pasadena Properties, LLC, hereinafter referred to as "Ciaimanf: Jared R.B. Hutton, Esq., Jared R.B. H