Award FINRA Dtopute Reeolution In the Matter of ttie Art>ttration Between: Name of ttie Clatoiant S^SJilUmbSD 094)0320 Eric Robert Ely Name of ttie Respondent Hwnng Site; Denver. Cotorado MerriH Lynch, Ptorce, Fenner & Smrth Incorporated Nature ofthe Dtopute: Assoctotod Psrson vs. Msmbsr REPfgSeWTATWN OF PART|K Claimant, Eric Robsrt Ely, hereinafler rsfsned to as "Ctolmant": Alan C. Friedberg, Esq., Pendleton Friedberg WUson & Hennessey, Denv

Award RNRA Dtopute Reeolution In ttie Matter of the Art>ttratton Betwfeen: CtotoianliCounter-ReaDondent Case Number 09-02996 WMbush Morgan Securities, Inc. f^yyi^p^^nyCounter-Ciaimant Hearino Stte: Denver, Cotorado John Buckingham Nature ofthe Disputes: Member vs. Assoctoted Person Assoctoted Person v. Member REPRESEMTATK)N OF PARTIES Clalmant/Counter-Res|9ondent, WMbush Morgan Securities, Inc., hereinafler rafened to as "WMS' or "Cla

Award FINRA Dtopute Reeototton In ttie Matter of the Art)ttrBflon Between: Ctelmante Case Number 09^1667 The 2000 Esttier Aboud Revocabte Trust Esttisr J. Aboud IRA Account Rsaoondente Hearing Site: Los Angetos. Califomto WMiovto Securtttoe, aC , nka W M Fargo Advleore, LLC Jamea Robertryan Wheat Natore of the Dtopute: Customer vs. Member and Assocteted Person REPRESENTATION OF PARTIES Claimante, The 2000 Esttier Aboud Revocabte Tnist

Award FiNRA Dtepute Reeolution In ttie Matter of ttie Arbttration Between: Name off ttie Cteimante: Case Number 09-04008 FlavtoAtarcon VirglnteAtercon Betty Akten KetthBeotty Jennifer Beaver Cruz Chavez Joe G. Paulson Christine A. Gsrza Name of ttie tteanondente: Hearino Site: Los Angeles, Califomia WMb Fargo Advisors, LLC f/kte Wachovte Securities, Inc. and A.G. Edwards & Sons, Inc. WMs Fargo Investmente, LLC WeNs Faigo B

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley & Co. Incorporated (formeriy Morgan Stanley DW Inc.) vs. Case Number: 0&-03491 Hearing Site: Chicago, Illinois Name of Respondent Bart J. Ellis MATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co. Incorporated (fonneriy Morgan Stanley DW Inc.) f Claimant" or "Morgan Stanley^ was rspr

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Morgan Stanley & (^., Incorporated (formerly Morgan Stanley DW Inc.) vs. Case Number 08-05028 Hearing Site: Cleveland, Ohio Name of Resoondent/Counter-Claimant Kenneth R. Boyd NATURE OF THgPISPUTg Member v. Associated Person REPRESENTATION OF PARTIgS Morgan Stanley & Co., Incorporated (formerly Morgan Stanley DW Inc.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dana Presti, individually and as Executrix of the Estate of Ralph E. Dllks (Claimants) v. PNC Investments. LLC and Ronald Aungst (Respondents) Case Number: 09-00444 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customers vs. Memt>er and Associated Person. REPRESENTATION OF PARTIES Claimants Dana Presti ("Presti") and Estate of Ralph E. Dllks ("Dilks"), hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Royal Alliance Associates, Inc. (Claimant) vs. Patrick Joseph McConnell (Respondent) Case Number: 09-04534 Hearino Site: New Yori«, New Yori^ Nature of the Dispute: Member vs. /^sociated Person. REPRESENTATION OF PARTIES Claimant Royal Alliance Associates, Inc., hereinafter referred to as "Claimanf: Erika L. Altman. Esq., Luboja & Thau, LLP. New York, NY. Respondent Patrick Jose

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06604 TD Ameritrade, Inc. (Claimant) vs. Joseph Buscema (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared R. Matthew Ingraham, Esq., TD Ameritrade, Inc., Bellevue, NE. Respondent appeared pro se. Brooklyn, NY. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 19,2009 CASE SUMMARY; Claimant asserted the following causes of action: breach of contract, breach of the Covenant of Good Faith and

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04247 Emmanuel Tetteh Kpabitey (Claimant) vs. Darin C. Haines and Costa Tzotzis (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Bronx, NY. For Respondents appeared Michael Utilla, Esq., Brooklyn, NY. NATURE OF DISPUTE: Associated Person v. Associated Persons DATE FILED: July 16, 2009 CASE SUMMARY: Claimant asserted the following cause of action: compensation owed. In their Counterclaim, R