AWARD FINRA DISPUTE RESOLUTION in the Matter of the Arbitration Between: Wachovia Securities Financial Network. LLC (Claimant) vs. Brad Nussbaum (Respondent) Case Number: 07-03583 Hearing Site: Newaric, New Jersey NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities Financial Network, LLC hereinafter referred to as "Claimant": Gregory Tendrich, Esq., Gregory Tendrich, P.A.. Boca Raton, FL. Previous

Award FINRA E)isputa Resolution In the Matter of the Arbitration Between: Names of the Claimants S^&ltlurnt29a 09-02314 Haney Family. LLC Family Funding, LLC Franklin L. Haney Revocable Tnjst Dated 12/28/2006 Npme of fhe Respondent Heytn9.Silfli Atlanta. Georgia Morgan Stanley & Co., inc. Nature of the Dispute: CuaU)meri vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESBrrATIQN OF PARTIES For Haney Family. LLC, F

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert E. Jones vs. Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., and Patrick M. Ford Case Number: 09-01606 Hearing Site: Columbus, Ohio NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Robert E. Jones ("Claimant") was represented by Andrew V. Tramont, Esq., Tramont Guerra & Nunez,

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Estate of Juan Roberto Brittingham-McLean, Deceased vs. Case Number 08-02457 Hearing Site: Houston. Texas Names of Respondents Global Financial Services, L.L.C., RIcardo Perusquia, Gerardo A. Chapa. and Robert C.A. Benjamin Customer vs. Member and Associated Persons Estate of Juan Roberto Brittingham-McLean, Deceased ("Claimant") was represented

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Nanfie of Claimant Ameriprise Financial Services. Inc. vs. Name of Resoondent Shawn Menz Case Number: 09-05832 Hearing Site: Columbus, Ohio NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Financial Services, Inc. ("Clalmanr) was represented by Edward Walton, Esq., Ameriprise Financial Services, Inc., Detroit, Michigan.

Award FINRA Dispute RMolutlon In the Matter of the Arbitration Between: NgmflaofthBCfalmanta CflW NjirPber; 08-03671 Jimmy W.Ackerman David M. Solger Judith W.Solger Name of the Raaoondant Heaiino Site: Tamoa. Florida Rok>ert S. Dokken, Jr. Nature of the Dispute: Customer vs. Associated Person. REPRESEMTATIOW OF PARTIES For Jimmy W. Ackerman ("Adcennan"), Oavid M. Sotgar ("D. Solger^ and Judith W. Solger fj . Solger^, hereinafter coHe

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Rose F. Welsz vs. Case Number: 09-02561 Hearing Site: Houston, Texas Name of Respondent UBS Financial Sen/ices, Inc. NATVR5 QF THE DISPUTE Customer vs. Member Rose F. Weisz ("Claimant") was represented by Robert E. Goodman, Jr., Esq., and James N. Francis. Esq., Francis Goodman, PLC, Dallas, Texas, as of on or about August 21, 2009. Claimant was

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05366 Howard Braff (Claimant) vs. Peter David Downey (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Holtsville, NY. Respondent appeared pro se, Northport, NY. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: September 14. 2009 CASE SUMMARY; Claimant asserted the following cause of action: breach of agreement. Claim Data Award Data Claim: $1,819.25 Award: $910.

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04746 SagePoint Financial, Inc. (Claimant) vs. John H. Heil (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Joseph Rimac, Esq., San Francisco, CA and Barry R. Temkin. Esq., Mound Cotton Wollan & Greengrass. New York, NY. Respondent appeared pro se, Carisbad. CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 12, 2009 CASE SUMMARY; Claimant asserted the following causes of action

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Douglas D. Vender Weide vs. Names of Respondents Richard J. Keeling, Robin Marshall, and David Jesse Case Number 09-02187 Hearing Site: Des Moines, Iowa Associated Person vs. Associated Persons Douglas D. Vander Welde ("Claimant") was represented by Michael A. Dee, Esq., Brown, Winick, Graves, Gn>ss, Basl^ervllle and Schoenebaum, P.L.C., Des Moin