AWARD FiNRA Dispute Resoiution In the Matterof the Arbitration Between: Name of Claimant Kerry Budry vs. Case Number 07-^136 Hearing Site: Detroit, Michigan Names of Respondents GunnAllen Financial, Ina, Frank J. Bluestein, Questar Capital Corporation, Maximum Financial Group, Ina, F.F., Inc., and i^noona C. Bluestein and Name of Cfoss-Clalmant/Crpss-Respondent GunnAllen Financial, Inc. vs. Name of Cross-Respondent/Cross-Claim

Stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Richard Pascucci (Respondent) pase Number 09-05367 Hearing Site: Buffalo. New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., n/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated hereinafter referred to as "Claimant": Dian

AWARD FINRA DISPUTE RESOLUTION In the l^atterof the Arbitration Between: Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Joseph P. Tiriolo (Respondent) Case Number: 09-05067 SITUS: Hartford, Connecticut. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC f/k/a Wachovia Securities. LLC, hereinafter referred to as "Claimant": Andrew Park, Esq., Park Ratner PLC. Richmond. VA.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Rita Kaufifnan (Claimant) vs. Citigroup Global Martlets, Inc.. and Alfred Francis Kelly, Jr. (Respondents) Case Number: 09-03448 Hearino Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Rita Kaufman hereinafter referred to as "Claimant": Jill Gross, Esq., John Jay Legal Services, Inc., White Plains, NY.

Award FINRA DIeputo Reeolutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-02446 Snehai Patel Name of the Respondent Hearino Site: Richmond, Virginia Westrock Advisors, inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Snehai Patel, hereinafter referred to as "Ciaimanf, appeared pro se. Westrock Advisors, Inc., hereinafter referred to as "Respondent": Christopher R. Travis, Esq.,

Award HNRA DIaputo Reeolutlon In the Matter of the Arbitration Between: Name of the Cteimant Case Number 08-04948 The Westen^it Company Name of the Respondent Hearing Site: Birmingham, Alabama Banc of America Securities LLC Nature of ttie Dispute: Customer vs. Member. REPRESENTATION OF PAfmES For The Westenrait Company, hereinafter refened to as 'X^teimanf: Peter R. Sonderisy, Esq., Ulmer & Beme LLP, Chicago, lliinois. For Banc of America

Award FINRA DIaputo Reeolutlon In the Matter of the Aristtration Between: Name of the Claimant Case Number 09-01995 Karen Rutii Hankinson Names of the Respondente Hearing Stte: Tamna. Florida Stanley Olttton Brooks RusseU Robert Rtocobono. Jr. Scott Stanley Brooks Kathleen Margaret McPherson Steve Skytte Brookstraet Securities Corporation Kennetti Paul Brown Natore of the Dispute: Associated Person vs. Member and Associated Person

AWARD FINRA DIaputo Resolution in the Matter of the Arbitration Between: Names of Claimante Arun Verma, Karuna Vemia, and Makan Limited partnership vs. Case Number: 08-04027 Hearing Site: Houston, Texas Names of Respondente A.G. Edwards & Sons, inc. and Wachovia Securities, LLC, and John Montfbrt NATURg OF THE DISPUTE Customers vs. Member and Associated Person Arun Vemia, Karuna Vemia, and Makan Limited partnership ("Claimante") were

AWARD FINRA Dispute Resolution In the Matter of the Ari3itration Between: Names of Claimants Mari( A. Martin and Nancy R. Martin vs. Name of Respondent Charies Schwab & Co.. inc. and Name of Third-Party Claimant Charies Schwab & Co., Inc. vs. Name of Third-Partv Respondent Cortland Associates, Inc. Case Number: 08-04919 Hearing Site: St Louis, Missouri MATURg OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Nj^p^^ofqa^man^ Christine L. Lane, as Beneficiary of the Christine L Lane I.R.A. vs. Case Number. 09-01745 Hearing Site: Houston, Texas Name of Respondent Morgan Stanley & Co.. Inc. NATVREgFTHEPBPUTE Customer vs. lumber REPRESEMTATIQM OF PARTIgg Christine L. Lane as Beneficiary of the Christine L. Lane I.R.A. ("Claimant") was represented by Mark C. Watler, Es