AWARD FINRA Dteputo Reeolutlon In the Matter of the Art)itration Between: Name of Claimant Chase Investment Sen/Ices Corp. vs. Case Number 09-05554 Hearing Site: Cleveland, Ohio Names of Resoondente Living Well Financial Group, Inc. and Daniel J. Bloom MATlJRgQFTHgDISPUTg Member v. Non-Member and Associated Person RgPRgSgWTATIQM QF PARTIgS Chase Investment Services Corp. C^ISC" or "Claimanf) was represented by Barton A. Bixenstine

AWARD FINRA Dteputo Reeolutlon In the Matter of the Ariottratton Bebween: Namea of Ctoimante Robert D. Young and Anne B. Young ve. Caee Number 08-04884 Hearing Stte: Loulaviito, Kentudcy Names of Resoondente Morgan Keegan and Company, Inc. and Robert A. A. Brewer MATURgQFTHEDIgPUTg Customers vs. Member and Aaaocteted Person RgPRESEMTATION QF PARTIES Robert D. Young and Anne B. Young ("Ctoimanto") were represented tyy Chariee G. Ml

AWARD FINRA Dtoputo Reeolutlon In the Matter of the Arbttration Behiveen: Name of Claimant Guentiier Roth vs. Namea of Reapondente Ameriprise Finendal Services, Inc. and Davto Tysk Caae Number 08-04425 Hearing Stte: Minneapoiia, Minneaote NATURE OF THE DISPlfTE Customer vs. Member and Associated Person REPREfiENTATION OF PARTIES Guenther Roth ("Claimanir) waa represented by TTiomaa E. Jamlaon, Eaq., Fruth, Jamison & Eisass, PLLC,

AWARD FINRA Dtoputo Reeolution In the Matter of the Arbttration Between: Names of Ctelmante Gerald Worden and Robyn Worden vs. Case Number. 07-03546 Hearing Stte: Detrott, Michigan Names of Resoondente GunnAlten Financial, Inc., Frank J. Bluestein, Quester Capttal Corporation, Maximum Financial Group, Inc., and F.F., Inc. and Name of Cross-Ciaimanl/Croaa-ResDondent GunnAlton Financial, inc. vs. Name of Croaa-Resoondent/Cross-C

AWARD FINRA Dtoputo Resolution in the Matter of the ArtMtratton Between: Name of Claimant Wells Fargo Invesbnente, LLC vs. Case Number 09-04483 Hearing Site: Houston, Texaa Name of Respondent Michael D. Anoyoe NATORE OF THE PISPUTE Member vs. Associated Person REPRESENTATION QF PARTIE8 Welte Fargo Invesbnente, LLC ("Welte Fargo" or "Cteimant") waa represented tiy Diane C. Fischer, Esq., Ronald P. Kane, Esq., and Jason R. Lindsay, Kane

AWARD FINRA Dteputo Reeolutlon In the Matter ofthe Art)itratton Between: Name of Cteimant Lois Pilten vs. Case Number. 00-01827 Hearing SHe: Omaha, Nebraska Name of Reaoondent Wachovia Securities, LLC NATURE OF THE PISPUTE Customer vs. Menik)er REPRESENTATION OF PARTIES Loto Pilten ("Cteimant") was represented by Gail E. Boliver, Esq., Boliver & Bkiwell Law Firm, Omaha, Nebraska. Wachovte Securities, LLC ("Respondenr) was represen

AWARD FMRA Dteputo Reeolutlon to ttie Matter of ttie Art)ttratfon Between: Name of Cteknant PhMp A. Henderson vs. Caae Number 09^)3352 Heering Site: Denver. Cotorado ING Fkianctel Partners, Ina end KeysETkmey Customer ve. Member and Aaaodatad Person PhllpA. Henderson C'CteimanfO wee represented by Wllam R. Ftohmen, Esq., Denver, Cotorado, ae of on or alxNJt September 2,2009. Prior to that dato. Claimant appeared ki prose. ING Hnenctel

Awwri FMRA Dteputo Raeoluflon In the Matter ofthe AMnfion BetoNeen: Q Invealmante Limited Paibieialdp Morgen Stanley & Ca. Ino. J^IAJttinblC 0M3243 IjfilCkKLStoL Lea Vagae, Nevada Natureof the Dtopute: Cuetomerva. Mamlier. RgPRgSBfTATlOII OF PAWTieS CtefcnantQlnvsatnrientelJmltedParineraht>herdnalteriefefiedtoaa'Cteknanr:Phl|p S. Aurbech. Eaq., Marquto & Aurisach. Lea Vsgae, NV. Respondent Morgan Stanley & Co., Inoorporstod, heielnaltei refened t

Awaid FMRA Dtoputo Reeolutlon to the Matter of the ArbHradon Between: Ctateiante Case Number OB-03212 Laurence Abramson IteneAbramaon Abramson Living Trust UAS 4/1AX2 B^Re HI Specvor The Spector Family Tmst U/A/D 08/16/93 Michael Pluze Reapondent Hearing Site: Loa Anoatea. Califamte CHigrDup Global Mariwte, Inc. Natore of the Dtoputo: Customers vs. Member REPRESENTATION OF PARTIES ClalniantB, Laurence Abramson, Itene Abramaon,

Award FINRA Dteputo Reeolutlon In the Matter of the Arbttration Between: Name of ttie Claimant Cfise Number 00-00993 The Alan B. Whtte Trust, by Hs Tmstees, Alan B. Whtte and Janice K. Whtte Name of ttie Reaoondent Hiring SHe: Satt Lalce Ctty, Utah ltradeDirect.com Corporation Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, The Alan B. Whtte Trust, by tts Trustees, Alan B. Whtte and Janice iC Whtte, hereinaf