Award FINRA Dtepute Reeolutlon In the Matter of the Ari3ttratton Between: Claimante Case Number 09-00120 Carol Page, personally and on behatt of the Carol A. Page Roth IRA Travis D. Bryant Arian L Pfbhl and Bari3ara L Pfohl, IndMdually and as Trustees of the Arian L. & Bart>ara L. Pfohl Family Trust Donate F. Shepard Jr. Arthur Taub Esther Stevens Jeffjray T. Stevens and Nancy Stevens Warren A. Helgefson, personally and as Trustee of the

AMianl RNRA Dtepute Raeohillon In ttie Matter of ttie Arbttration Between: Ctelmant Case Number 0M6520 Wels Fargo Invesbnents, LLC RsBPondant Hearing SHa: Los Angstes, Calfomta DonakI A. Duarta, Jr. Natore of the Dispute: Member vs. Associated Person REPREaEMTATION OF PAHTlEa Ctelrnant, Wels Fargo Invesbnente, LLC, hecebianerrefefred to aa'Ctelrnanir: PaulT. CahlH, Esq., Kane & Ftocher, Lto., Chtoago, lllnoto. Respondent. DonsM A. Duarte,

Award FINRA Dtopirte Rasohitlon In the Matter of the Arbttration Between: Claimante Case Number 08-03629 NkMe Lee Silk as trustee of The Ntekte Lee Silk Dedaratton of Revocabte Tnjst dtd 8/16/93 Evan Gardner as trustee of The NIckie Lee Silk 2004 Trust dtd 12-13-2004 Candl Blelfer and Scott BlettiBr as trustees of TTie Bleifer Family Trust dtd 3/25/1999 Bruce L. Pompan and Byrdte Lifeon Pompan as trustaes of The Pompan Family Trust U/A/D 4/4/98 R

AWARD FINRA DIsputtt ResoliJtIon In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley Smitti Barney, LLC vs. Case Number: 10-01090 Hearing Site: Indianapolis, Indiana Name of Respondent Robert Douglas Hassell MATURE OF THgPlSPUTg Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Bamey, LLC ("Claimant") was represented fc>y Samuel P. Mauch, Esq., Saretsky Hart Michael & Gould. PC, Birmingh

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Yvonne Hanis Bass (Claimant) vs. Ameriprise Financial Services, Inc. f/k/a American Express Financial Advisors (Respondent) Case Number: 09-07050 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Yvonne Harris Bass hereinafter referred to as "Ciaimanf appeared pro se. Respondent Ameriprise Financial Service

Award FINRA Dispute Resolution In the Matter of the Art^itration Between: Hilary Shane (Claimant) v. First New York Securities LLC (Respondent) Case Number: 09-03237 Hearing Site: New Yori^, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Hilary Shane hereinafter referred to as "Claimant": Richard M. Asche, Esq.. Litman, Asche & Gioiella, LLP, New Yoric. NY. Respondent First New Yoric Securities LLC he

Award FINRA Disputo Resolution In the Matter of the Arbitration Between: Bernard B. Markey (Claimant) vs. Fidelity Brokerage Sen/ices. LLC (Respondent) Cgise Number: 09-04839 Hearino Site: Newark. New Jersey consolidated with Bemard B. Markey and Navigator Partners. LLC (Claimante) vs. Fidelity Brokerage Sen/ices. LLC (Respondent) Cgse Number 09-04840 Hearing Site: Newark, New Jersey Nature of the Dispute 09-04839: Customer vs. Member. Nature

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01313 Jordan M. Brickman and Linda S. Brickman (Claimante) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: For Claimante appeared Jordan M. Brickman, Phoenix, AZ. For Respondent appeared Sean R. Murphy. Esq., Fidelity Brokerage Services LLC, Boston. MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 17. 2010 CASE SUMMARY: Claimants asserted the following causes of action

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00885 Wells Fargo Advisors, LLC fomneriy known as Wachovia Securities LLC (Claimant) vs. Gary Feidman (Respondent) REPRESENTATION OF PARTIES: "~ ~ For Claimant appeared Michael S. Colombo. StreetWide Asset Recovery Group, inc.. Haziet. NJ. For Respondent appeared Neal M. Goldstein, Esq., GershunI & Goldstein LLP, Los Angeles, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 24,201

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06942 Merrill Lynch, Pierce, Fenner & Smith Incorporated (f/k/a Banc of America Investment Services, Inc.) (Claimant) vs. Tim Dowden (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. For Respondent appeared J. Mitchell Little, Esq., Scheef& Stone LLP, Frisco, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 14,2009 CAS