stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Austin Frishman and Bart>ara Frishman, individually and as Joint Tenants with Right of Survivorship and as Tmstees of their respecttve IRA accounts and as Trustees of their respective Trust accounts Names of the Respondents Wachovia SecurtUes. LLC FMSbonds, Inc. Case Number 09-00807 Hearing Site: Boca Raton, Florida Nature of the

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-07097 Debbie K. Gardner Erica M. Gardner Respondent Hearing Site: San Francisco, Califbmja Edward Jones Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Debbie K. Gardner and Erica M. Gardner, hereinafter referred to collectively as "daimants": Debbie K. Hancock, Santa Cruz, California. Respondent, Edward

AWARD FINRA Dteputo Reeoiutlon In the Matter of the Arbttration Between: Names of Claimante Marie & Patricia Sims and Andrew & Patricia Sims vs. Case Number 08-01631 Hearing Stte: Cleveland, Ohio Name of Resoondent/Counter-Ciaimant Wachovia Securtties, LLC vs. Names of Counter-Resoondente Mart( & Patricia Sims NATURg OF THE DISPUTg Customera vs. Member REPRgSENTATIQN OF PARTIES Marie & Patricia Sims and Andrew & Patricia S

AWARD FINRA DIeputo Reeoiutlon in the Matter of the Aristtration Between: Name of Claimant Morgan Stanley & Co. Incorporated vs. Case Number 09-02210 Hearing Stte: Cleveland, Ohio Name of Respondent Douglas A. Ross NATURE OF THE DISPUTE Member vs. Associated Peraon REPRESENTATION OF PARTIES Morgan Stanley & Co. Incorporated ("Claimanr) was represented by Ronate Kane, Esq., Kane & Fischer, LTD, Chicago, Illinois. Douglas A. Ross ("

Award FINRA Dtepute Reeoiutlon In ttw Matter of the Arbttration Between: Claimant Case Number 09-05092 VIshal Thacker IResDondente Hearino Stte: San Frandsco. Calttbmte George Manud Ramirez MFR Securities, Ina Netore of ttw Dispute: Assodated Person vs. Member and Assodatsd Person REPRESENTATION OF PARTIES Claimant VIshal Thacker. hereinafter rsfened to as "Claimant*: Pro Se, San Frandsco, Calttbmte. Respondente, George Manuel Ramiraz

Award FINRA Dteputo Reeoiutlon In the Matter of the Arbitration Between: £|aimaD& case Number 09-05536 Attired L Davenport, Jr., indlvkiualiy and as Co-Trustee of the A.L. Davenport Trust Nadine Ganley, as Co-Trustee of the A.L Davenport Trust and as AttomeyHn-Fact for A.L. Davenport, Jr. Respondente Hearino Stte: Los Angeles, Calttbmte UBS Finandai Servtees, Inc. DonaM L. Gorsch Bjom Hauerbach Edward Y. Tom UBS Bank USA UBS N

Award FINRA Dtepute Reeoiutlon In the Matter of ttie Arbttration Between: Claimant Case Number 09^762 Dan Schmeklter Respondent Hearing Stte: Los Angetes, Calttbmte Chariee Schwab & Co., Ina Nature of the Dtepute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Dan Schmekiter, hereinafter referred to as "Claimant": Pro Se, i-os Angeles, Caittbmta. Respondent, Cheries Schwab & Co., Ina, hereinafter referred to aa "Schwab" or "Re

Award FINRA Dteputo Resolutton In the Matter of the Aristtratton Between: Clalmante Case Number 09-00417 Scott C. Folln and Lorraine P. Folln, IndivkJually and as Trustees of The Folln Family Trust ResDoridente Hearing Stte: Porttand, Oregon Ronaki D. Tenteon Raymond James Finandai Services, Inc. Nature of the Dtepute: Customers vs. Member and Assodated Person REPRESENTATION OF PARTIES Clalmante, Scott C. Folln and Ljorraine P. Folln, ind

Award FINRA Dispute Resolution In the Matter of the ArtNtratlon Between: Name of the Claimant Mark Famsley Name off the Respondents Questar Capital Corporation Maximum Financial Group. Inc. Frank Julian Bluestein GunnAlien Financial, Inc. NamaofCroas-Clalmant GunnAllen Finandai, Inc. Name of Croas-ResDondent Questar Capital Corporatk>n Name of Cross-Claimant Questar Capital Corporation Name of Cross-Respondent GunnAlien Fi

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00110 Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC Name of the Respondent Hearino Site: Salt Lake City, Utah Martin Johanna vanAmen Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC. hereinafter referred to as "Claimanf