Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-05799 liyse Fern Klavir Respondent Hearing Site: Los Angeles, Califonnia Banc of America Investment Services, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Ilyse Fem Klavir, hereinafter referred to as "Claimant": David Harrison, Esq., Law Offices of David Hamson, Beverly Hills, Caiifomia. Respondent, Banc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06393 Wells Fargo Advisors, LLC Respondent Hearing Site: Los Angeles, CA Wade P. Cook, Sr. Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC. fomnerly known as Wachovia Securities. LLC, hereinafter referred to as "Wells Fargo" or "Claimanf: Timothy N. Will, Esq., Albert & Will. L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Evan T. Williams Tmst. L.R. Galio Simple IRA, L.R. Gailo, Terry L Gallo Simple IRA, L.R. Gailo IRA Keith Hutson and Karen Hutson, Banry Weisman and Karen Weisman, Norman M. Some and Barbara K. Some, and Howard Some vs. Names of Respondents Morgan Keegan & Co., Inc.. and Homer VIning, IV Case Number: 09-00039 Hearing Site: St. Louis, Missouri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC vs. Jose A. Larrea Case Number: 10-00076 SITUS: Miami. Florida NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: For Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Fiore & Levins, PLLC, Arlington, Virginia. Respondent did

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michelle L. Ford (Clainnant) v. Affinity Investnnent Services, LLC, Affinity Federal Credit Union, Affinity Financial Services, LLC, and Mark Dubei (Respondents) v. Securities America, Inc., Securities America Advisors, Inc., Vantage Point Financial Services, and Vantage Point Bank (Third Party Respondents) Case Number: 08-02782 IHearinq Site: Newark, New Jersey Nature of the Disput

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-02428 Willard Lee Rumley, III Albert Alexander Montague Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Willard Lee Rumley, ill and Albert Alexander Montague, hereinafter collectively referred t

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03048 Banc of America Investment Services, Inc. (n/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated) Name of the Respondent Hearing Site: Orlando, Florida Christopher M. Squires Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc. (n/k/a Merri

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Rothaar (Claimant) vs. Standard Credit Securities Inc. and Standard Credit Group, LLC (Respondents) Case Number: 09-03283 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-member. REPRESENTATION OF PARTIES Claimant Richard Rothaar "Claimant": David B. Wechsler, Esq., Wechsler & Cohen, LLP, New York, NY. Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-02418 Charies C. Patton Respondent Hearino Site: Los Angeles. Califomia Wells Fargo Investments, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Charles C. Patton, hereinafter referred to as "Claimant": Robert E. Prussing, Esq., Santa Barisara, Califomia. Respondent, Wells Fargo Investments, LLC, hereinafter

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01963 Morgan Stanley Smith Barney LLC vs. Brent J. Hawk REPRESENTATION OF PARTIES: For Claimant: Mauricio S. Beugelmans, Esq., Cole-Frieman & Beugelmans LLP, New York, New York. For Respondent: John L. Senft, Esq., Senft Law Firm, York, Pennsylvania. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 26. 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. Cl