Award FINI^ Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 07-01585 William P. Holmes Robert K. Arceneaux Margaret Stanton George Hunter Betty J. Hunter Girven VanPatton Alice Titus Marsalis John D. Abston Biliie L. Wheat Names of the Respondents Hearino Site: Jackson, Mississippi Royal Alliance Associates, Inc. MML Investors Services, Inc. Gaynell A. Palmisano Nat

AWARD FINRA Dispute Resolution In the Matter of the Arisltration Between: Name of Claimant Steven Beach vs. Names of Resoondents Bentley-Lawrence Securities. Inc., Mesirow Financial, Inc.. and Mark F. Harper Case Number: 08-03378 Hearing Site: Detroit, Michigan Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Steven Beach ("Claimant") was represented by Jack J. Mazzara. Esq., Mazzara Law Finn. PLLC, Grosse Poin

Case Number: 09-03271 Hearing Site: St. Louis, Missouri •HE DISPUTE Customer vs. Member Janis D. Carenza, Independent Executor of the Estate of Roger D. Emling ("Claimanr) was represented by Donald J. Mehan, Jr., Esq. and Christopher T. O'Connor, Esq., Moline & Mehan, LLC. St. Louis, Missouri. UMB Financial Services, Inc. ("Respondent" or "UMB") was represented by M. Jane Matoesian. Esq. and Donald D. McBride, II, Esq.. Greensfeider, Hemker& Gale, P.C, St.

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02283 Lioudmilla Pashenl^ov (Claimant) vs Wachovia Securities. LLC and Michael J. Stevens (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Alan Gilmore. Esq., Lynch. Osborne. Theivakumar & Gilmore, LLC. Princeton. NJ. For Respondents appeared Brian J. Ellis. Esq., Bressler, Amery & Ross, Florham Park. NJ. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 23. 2009

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Adam I. Wachtel (Respondent) Case Number: 09-01970 Hearing Site: New Yori^, New Yori^ Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": David L. Ward, Esq. and Cliff G. Anderson, Esq., Michaels, Ward & Rabinovltz LLP, Boston, MA.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bernadette Harper vs. Case Number: 09-04503 Hearing Site: Houston, Texas Names of Respondents Dean Wolpert and BBVA Compass Investment Solutions, Inc. NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Bernadette Harper ("Claimant") appeared pro se. Dean Woipert ("Wolpert") and BBVA Compass investment So

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04737 Joy Deschaine (Claimant) vs. Richard Jay Bernstein and UBS Financial Services Incorporated (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Canoga Park, CA. For Respondents appeared Kathleen S. Adams. Esq.. UBS Financial Services Incorporated, Los Angeles, CA. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: August 12, 2009 CASE SUMMARY: Claimant asserted the f

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04688 Dolores M. Locher (Claimant) vs. Ameriprise Financial Services, Inc., and Gary William King (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared John A. Locher. Jr.. Eden Prairie, MN. For Respondents appeared Howard M. Klausmeier, Esq.. Ameriprise Advisor Services, Inc.. Detroit, Ml. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 3, 2009 CASE SUMMARY: Claimant

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05123 Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Claimant) vs. Jeffrey Whittaker (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey M. Csercsevits. Esq., Rubin, Fortunate & Harbison. PC. Paoli, PA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 1, 2009 CASE SUMMARY; Claimant asserted the following cause

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04782 Wachovia Securities. LLC (Claimant) vs. Matthew D. Fitch (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Renan I. Sugarman, Esq.. Renan Sugarman. P.C, Chicago. IL. Respondent appeared pro se, Albertville, MN. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 13, 2009 CASE SUMMARY. Claimant asserted the following causes of action: breach of contract and unjust enrichment.