AWARD FINRA Dispute Resolution in the Matter of the Arisitration Between: Names of Claimants James R. Smith and Carol A. Smith vs. Name of Respondent Wachovia Securities, LLC Case Number: 08-04559 Hearing Site: l-louston, Texas NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES James R. Smith and Carol A. Smith ("Claimants") were represented by Bruce Oakes, Esq., Oakes & Fosher, LLC, Bethaito, Illinois. Wachovia

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Signal Securities, Inc. vs. Case Number: 08-03977 Hearing Site: Dallas, Texas Names of Respondents Calton & Associates. Inc. and David L. Beck NATURE OF THE DISPUTE Member vs. Member and Associated Person REPRESENTATION OF PARTIES Signal Securities, inc. fCiaimanr) was represented by Gilbert W. Boyce, Esq., Kutak Rock. LLP, Washington, DC.

STIPULATED AWARD FINRA DIapute Resolution In the Matter of the Arbitration Between: Name of Ciaimant Chase Investment Services Corp. vs. Case Number: 07-01310 i-learing Site: Charleston, West Virginia Names of Respondents Woodbury Financial Services, inc., Phiiiip C. Morgan. Greg W. Cox, and Michael A. Frontino NATURE OF THE DISPUTE Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Chase Investment Services Co

Award FINRA DIapute Resolution In the l\4att6rof the Arbitration Between; Name of the Claimant Case Number 08-03576 Christine Dann, as Toistee fbr the Christine iVI. Dann Tmst U/A DTD 10/04/06 Name of the Respondent Hearing Site: Oriando, FL Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Christine Dann, as Trustee fbr the Christine M. Dann Trust U/A DTD 10/04/06, hereinafte

Award FINI%A Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-00623 Dickerson Living Trust Names of the Respondents Hearing Site: Baltimore, Maryland Merrill Lynch Pierce Fenner & Smith Inc. Jarrett L. Gounaris Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION QF PARTIES For Dickerson Living Trust, hereinafter referred to as "Claimant": William A. Healy, Esq.,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04374 Janney Montgomery Scott LLC Name of the Respondent Hearing Site: Boca Raton, Florida David T. McDowell Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott LLC, hereinafter referred to as "Claimant": Leslie M. Greenspan, Esq., Stradley Ronon Stevens & Young LLP, Ph

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 09-01281 Marian Zagier Names of the Respondents Hearino Stte: Baitimore, Maryiand Wassemian & Associates, Inc. John Gerard Forre&ter Nature of the Dispute: Customer vs. MemiMrand Associated Person. REPRESENTATION OF PARTIES For Marian Zagier, hereinafter refen^ to as "Claimant": Thonnas C. Costeilo, Esq., West & Costeilo, LLC. Baitim

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04431 Nicholas McCormack (Claimant) vs. Wachovia Securities. LLC, A.G. Edwards & Sons, Inc., Lise Robinson and Jeffrey T. Zelin (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, NonA/alk, CT. For Respondents appeared Patricia E. Cowart, Esq., Wachovia Securities, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer v. Members and Associated Persons DATE FILED: November 24, 2008 CASE SUMMARY: Cla

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03899 Justin H. Sterling (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Conesus. NY. For Respondent appeared John Bersin. Esq.. E'Trade Securities LLC, Roseville. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 23, 2009 CASE SUMMARY: Claimant asserted the following causes of action: misrepresentation; omissions of material facts; breach of fidu

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03901 Michael W. Nagy (Claimant) vs. Wachovia Securities, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Fairfax, VA. For Respondent appeared Judy Louie. Esq.. Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC, Pasadena, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 27. 2009 CASE SUMMARY: Claimant asserted the following causes of action: unsuitability and violation