Jl Award FINRA Dtaputo Reeolution In the Matter of ttie Arbttratton Between: Mama of ttie Ctaknante Case Numbar QQ-QOeaA Joan M. Sharpleas and J&L Trust, Joan M. Sharptaee Tnietae Naqfia of ttie Reeoondante Hearino Site! Seattto, Washington Jerome Joseph Stollick, Ameriprise Financtal Sennoes, ina, Commonweatth FInanctal Networic, and Centaurus FInanctal, Inc. Natore of ttie Dtepute: Customere vs. Associated Person and Membera. REPRES

Award FINRA Dtaputo Reeolution In ttie Matter of ttie Arbttrafion Between: fitaknant CaseNumbaroa-oaasi John K. Doemer Respondanta Hearing SHa: San Francisco. Califomia EPtannIng Securities, Inc. Timottiy A. Msnezes Leiand S. Pnnsta Joseph D. Vessalto Gbbs W.Brown Clifford N.G8mbto, Jr. Richsrd E. Boone Scott L. Huttsman LkidaM.Sechser GavyT.Amfiitage Natore of the DIsputo: Customer vs. Member and Assodatsd Porsons

AWARD FINRA Dtepute Reeolution In the Matter of the Arbitration Between: Names of Ctelmante Bernard Cousino and June Cousino vs. Case Number 08-00032 Hearing Site: Detroit, Michigan Names of Respondente GunnAlton Financial, Inc., Franic J. Bluestoin, Quester Capitol Corporation, Maximum Financial Group, Inc., and F.F., Ina and Name of Cros»Ctelmant/Counter Cross-Respondent GunnAlten FInanctel, Inc. vs. Name of Cross-Reaoondent

Award RNRA DIsputo Resolution In the Matter of the Arbitratton Between: NamaoftheClaimantB pase Number 09-02221 Andrsw J. Honzel and Beveriy J. IHonzel flame of the Respondents/ Thlfd-Partv Claimant Hearing Site: Los Angeles, Califomia (Raymond James Financial, Inc. and Raymond James Financial Services, Inc. fiame of ThW-Partv Respondent Benjamin R. Daniels Nature of the Dispute: Customers vs. Non-Member and Member vs. Assodatad Person. REPRE

AWARD FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of Claimant Wachovia Securities, LLC n/k/a Wells Fargo Advisers, LLC vs. CaseNumtwr 09-02732 Hearing Site: Dallas, Texas Name of Respondent Wesley G. Long NATURE OF THE DISPUTE Memk)er vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC n/k/a Wells Fargo Advisers, LLC ("ClaimanT) was represented t>y Stephen D. Bums, Esq., Flore & Le

Award FINRA Dteputo Reaoiutlon In ttie Matter of ttie Arbttratton Between: Name off ttie Ctetoiant Case Number. 0SO1816 TheTrust Agreement of Emma Doris B. Bufldn dated 6/21/95, as amended, ttirough ite tmstee Wiiltem Bufldn Emma Bufldn, Indhrtoually, through her attomeynn-fact Wiiltem Bufldn Name of ttie Reapondente: HWrlPfl 9^- Denver, Cotorado Merrill Lynch, Pterce, Fenner & Smitti Incorporatsd AttonMayeu Sharon Bentz Natere ofthe Dlap

Aivard RNRA DIsputo Reaoiutlon In ttie Matterof ttie Art)ttration Between: Ijoto H. Lovlns (Claimant) vs. UBS Finandal Sen^ices, Inc. (Respondent) Case Number 09-00593 Hearing Stte: Los Anoeles. CaHtomte Nature of ttie Dtopute: Associated Person vs. Member. REPHESENTATION OF PARTIES Cteimam Loto H. Lovlns hereinafter referrsd to as "Claimanr: Erwin J. Shustak, Esq. and George C. Milter, Esq., Shustek Frost & Parttiers, P.C., San Diego, CA. Reapondent

Award FINRA Dtoputo Resolution In ttie Matter of ttie Arbitration Between: Ctelmante Case Number 08-02135 Marc Mauney & Lynne Rogerson Revocabte Living Trust Qualified Tennlnabto Interest Tmst Respondent Hearing Site: Seattto. Wtahington Charias Schwab & Co., Inc. Nature of the Dispute: Customers vs. Member REPRESeNTATIQH OF PARTt^ Ctelmante, Marc Mauney & Lynne Rogerson Revocabte Living Tnjst, and Qualified Termlnabte Interest Tmst, here

Award RNRA Dieputs ReaoMon In the Matter of the Arbitration Between: Name of tha Claimant Case Number. 07-03006 J A Majors Corporation Name of the Respondents KJeadQaSltBL Dallas, Texas PFPCIna, Wtehovia Corporation, and Paine Webber, Inc. n/k/a UBS Rnancial Services, Inc Nature of the Dispute: Customer vs. Non-Membeis and Member. REPRESENTATION OF PARTIES Claimant J A Majors Corporata'on herainafter raferred to as '^laimaniT: Marie A. He

Award FINI^ Dispute Reaoiutlon In the Matter of the Ari3itration Between: Noele Wein, Alan J. Wein, M.D., Ph.D., and Nolan Sen/ices, Inc. I(Claimante) vs. Menill Lynch, Pierce, Fenner & Smith, Inc., and Jeffrey D. Schrader (Respondente) Case Number: 08-04107 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Noete Wein (^N. Wein"), Alan J. Wein ("A. Wein") and No