Stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03802 Ameriprise Advisor Services, inc. Name of the Respondent Hearina Site: Boulder, Colorado Rockwell Stuart Pearson Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Ameriprise Advisor Services, Inc. ("AASi"), hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fisc

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 09-06925 Joe R. Woods Respondents Hearing Site: San Diego, California Brady Foley Ann K. Bond Counter-Claimants Brady Foley Ann K. Bond Counter-Respondent Joe R. Woods Nature of Dispute: Associated Person v. Associated Persons Associated Persons v. Associated Person REPRESENTATION OF PARTIES Ciaimant/Counter-Respondent, Joe

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimants Case Number: 09-05435 Charles R. McAdam and Arlene J. McAdam Name of the Respondents Hearino Site: Denver, Colorado Wachovia Securities, LLC John Lowell Waite Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Charles R. McAdam and Arlene J. McAdam, hereinafter referred to collectively as "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-02239 Aldrich J. Fernandez Name of Respondent Hearing Site: San Diego, Califomia Wachovia Securities, LLC Nature of Dispute: Customer vs. Member Public Arisitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Aldrich J. Fernandez, hereinafter refered to as "Claimant": Bruce D. Oakes, Esq., Oakes & Fosher, LLC, St. Louis, M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00800 Lewis Young Name of the Respondents Hearing Site: Phoenix, Arizona SunAmerica Securities, Inc. n/k/a AIG Financial Advisors The Householder Group Nature of the Dispute: Customer vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant Lewis Young, hereinafter referred to as "Claimant": Pro se, Maricopa, Arizona. Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06035 Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site: Jacksonville, Florida Cortes Trevor Bicking Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Daniel

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00452 Thomas Sparks (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Adam J. Gana, Esq., Napoli Bern Ripka, LLP, New York, NY. For Respondent appeared Teresa E. Adams, Esq., Parker, Hudson, Rainer & Dobbs LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 29, 2010 CASE SUMMARY: Claimant asserted the following causes of action: vi

Award FINRA bispute Resolution in the Matter of the Arbitration Between: Claimants Case Number: 10-02699 Wells Fargo Investments, LLC David Michael Logsdon Respondent Hearing Site: Boise. Idaho Janice Corkery Nature of Dispute: Member and Associa^^ REPRESENTATION OF PARTIES Claimants Wells Fargo Investments, LLC ("Wells Fargo") and David Michael Logsdon ("Logsdon"), hereinafter collectively referred to as "Claimants": Sandra D. Grannum,

Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Name of the Claimant Case Number: 09-06224 National Securities Corporation Name of the Respondent Hearina Site: Los Angeles, California Derek Lopez Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, National Securities Corporation, hereinafter referred to as "Claimant": Mark Roth, Esq., Goldbeck Roth Financial Sen/ices, Seattle, Wash

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-02259 Lesmir. Inc., d/b/a Rosen Properties and Rosen- Hari30ttle Commercial Real Estate North Creek Enterprises, LLC Everett Plaza Shopping Center Evergreen Way Association RH Sixth Avenue Plaza Associates Woodinville Warehouse Associates, LLC Mayers MGI Building Holding, LLC Marymoor Warehouse Associates, LLC Rosen Bel Kirk Associates,