stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kathryn Roda, Marion Luongo, Angelo Luongo, and John Giambrone (Claimants) vs. Clayton, Dunning & Company, Inc., Carlton Capital Inc., Albert G. Wardi, Anthony Mediate, 111, Brookstone Securities, inc., and J.P. Turner & Company, L.L.C. (Respondents) Case Number: 09-03452 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Derby d/b/a Troika Capital Consultants (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Richard Grodin (Respondents) Case Number: 09-04494 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Peter Derby d/b/a Troika Capital Consultants, hereinafter referred to as "Claimant": Thoma

AWARD FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of Claimant John H. Allen vs. Case Number: 09-03845 Hearing Site: Louisville, Kentucky Names of Respondents Westrock Advisors, Inc., Jonothon M. Liebennan, and Gregory M. Martino NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES John H. Allen ("Claimant") was represented by Steven M. McCauley, Esq. and Charles C.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03047 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Trey Calvin Trammell (Respondent) REPRESENTATION OF PARTIES: For Claimant: Mary Jo Cantu, Esq., Ballard & Littlefield, LLP, Houston, Texas Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 30. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note ("No

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 10-02112 Hearing Site: Chicago, Illinois Name of Respondent William Lome Wilkins NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Renan I. Sugamnan, Esq., Law Office of Renan I. Sugannan, P.C, Chicago, Illin

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Zachary S. Sech vs. Case Number: 09-01374 Hearing Site: Cincinnati, Ohio Names of Respondents / Counter-Claimants Merrill Lynch, Pierce, Fenner & Smith, Inc., Joseph H. Evelo, David L. Singer, and Linneli R. Sullivan and Names of Third-Party Claimants Merrill Lynch, Pierce, Fenner & Smith, Inc., Joseph H. Evelo, David L.

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03077 Patricia Tynan Chapman, Individually and as Trustee of the Patricia Tynan Chapman Trust UAD 9/26/90 Name of the Respondent Hearing Site: San Francisco, California Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Patricia Tynan Chapman, Individually and as Trustee o

Award FINRA Dispute Resolution In tiie Matter of ttie Arbitration Between: Name of Claimante Case Number: 09-00609 Moshe Shram Hanna Shram Name of Respondent Hearing Site: Los Angeles, California IDS Capitel Corp. Nature of Dispute: Customere vs. Memt>er REPRESENTATION OF PARTIES Claimante Moshe Shram and Hanna Shram, hereinafter collectively referred to as "Claimante": Jonatiian Schwartz. Esq.. Law Offices of Jonatiian Schwartz, Marina D

Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Name of Claimant Case Number 09-00387 Charies Schwab & Company, Inc. Name of Respondent Hearing Site: San Francisco, Califomia Trevor Rodrigues Templar Nature of Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant, Charies Schwab & Company, Inc.. hereinafter referred to as "Schwab" or "Claimant": Richard A. Karoly, Esq., Charies Schwab & Company. Inc.. San F

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00631 Thomas A. Trax Name of the Respondent Hearina Site: San Diego, California Westfin Securities Corporation Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Thomas A. Trax, hereinafter referred to as "Claimant": Jeffrey S. Kob, Esq., Jeffrey S. Kob, APC, Coronado, Califomia. Respondent, We