AWARD FINRA Dispute Resolution in the Matter of the Arbttration Between: Names of Ciaimante Priscilia E. Hanson and Ariyn E. Hanson, individually and as Tmstees for the Ariyn E. Hanson Trust. as Trustees for the Priscilia E. Hanson Trust, on behatt of the Priscilia E. Hanson IRA, and on behatt of the Ariyn E. Hanaon IRA vs. Case Number: 09-03611 Hearing Site: Minneapoiia, Minnesote Names of Resoondente Wells Fargo Advisore, LLC f/k/a

AWARD RNRA Diaputo Resolution In ttie Matter of the Art)itration Between: Name of Cteimant Ann Ntebauer vs. Caae Number 07-03620 Hearing Stte: Deboit, Michigan Narrow gfRwpontfqnte GurmAlten Rnancial, inc.. Franic J. Bluestein. Quester Capital Corporatton, Maximum Rnanctei Group, inc., and F.F., inc. and Name of Cross-Cteimam/Crosa-Resoondent GunnAlten Rnarwial, Inc. vs. Name of Croaa-Resoondenl/Crosa- Cteimant Quester Cap

AWARD FiNRA Dteputo Resolution in the Matter of the Arbitration Bebiveen: Name of Cteimant Wells Fargo Advisors, LLC flkia Wachovia Securitiea. LLC vs. Caae Number 10-00872 Hearing Site: Houston, Texas Name of Respondent Victor Bailey NATURE OF THgPISPUTg Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Adviaors, LLC f/lc/a Wachovia Securitiea, LLC CWeils Fargo" or "Claimant") was represented by Mary Jo Cantu, Es

AWARD FINRA Dteputo Reaolutlon in the Matter of the Arbitration Between: Names of Cteimante Deft>orah K. Hartman and Ryan J. Hartman vs. Case Number: 07-02883 Hearing Site: Cleveland, Ohio Names of ReaoorKlente / Third-Parhf Ciaimante McDonald inveatmente. Inc. n/k/a Keybanc Capitei Maricete, Inc. and Gregg Aten Harbnan vs. Name of Third-Partv Respondent John Hartman MATURE OF THE DISPUTE Customers vs. Member and Associated Person

AWARD FINRA Diaputo Reaolutlon In the Matter of the Arbibation Between: Name of Claimant Tommy N. Sausley vs. Case Number: 09-02596 Hearing Site: Houston. Texas Names of Resoondente Citigroup Global Maritete, Inc., Nancy Bradley, Gregory Torrette. Christopher Miller and James Stemes MATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Tommy N. Sausley C'Claimanr) appeared pro se.

STIPULATED AWARD FINRA Dtaputo Resolution In the Matter of the Arbttration Between: Name of Claimant/Counter-Resoondent Frank Grossman vs. Case Number 09-01495 Hearing Stte: Chicago, lliinoia Name of Respondent/Counter-Claimant Banc of America Invesbnent Servtoes, Inc. n/Wa Menill Lynch, Ptorce, Fenner & Smtth, Inc. MATURE OF THgPISPtrrg Associated Person vs. Member REPReSEWTATIQN OF PftRTIES Frank Grossman ("Claimanr or "Grossman") w

AWARD FINRA Dispute Resolution In the Matter of the Arbttration Between: Names off Claimants Ronald Tremblay and Joan Tremblay vs. Case Number 07-03618 Hearing Stte: Detrott, Michigan Names off Reaoondenta GunnAHen Rnandal, Inc., Frank J. Bluestein, Questar Capttal Corporation, Maximum Rnancial Group, Inc., and F.F., Inc. and Name of Cross-Claimant GunnAHen Rnancial, Inc. vs. Name of Croaa-Rasoondent Questar Capttal Corpor

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00070 Alvin M. and Linda Coppersmith, Alvin M. Coppersmith, IRA Account, and Alvin M. Coppersmith, Keogh Account (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Alvin M. Coppersmith, Fresno, CA. For Respondent appeared Richard A. Karoly, Esq., Charies Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: January 4, 201

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06928 Debra Alavi DDS MS Defined Benefit Plan, Debra G. Alavi, Trustee (Claimant) vs. Douglas G. Mavrovic (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Debra G. Alavi, Oak Brook, IL. For Respondent appeared Nicole C. Johnson, Esq., JP Morgan Chase & Co., New York, NY. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: December 10,2009 CASE SUMMARY: Claimant asserted the following c

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06893 Steve N. Mitchell d/b/a Esemco Corporation and Steve N. Mitchell Traditional and Roth IRA (Claimants) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Steve N. Mitchell, Tivoli. NY. For Respondent appeared Sean R. Murphy, FMR LLC, Boston. MA. NATURE OF DISPUTE: Customers v. Member DATE FILED: December 10.2009 CASE SUMMARY: Claimants asserted the following