Award FINRA Dispute Resolution In the Matter of the Arbitration BehA/een: Claimant Case Number: 10-02944 John M. Trani vs. Respondents B. C. Zlegler and Company Michael Alan Kramer Brad Elliot Zeisse Heannq Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant John M. Trani, hereinafter referred to as "Claimant": Jeremy A. Mellitz, Esq., With

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-00603 Jane Ellison Usher, both individually and as trustee for the Jane Ellison Usher Trust of October 20, 2000, and as custodian for Samuel T. Usher and Jackson A. Usher under the Unifonn Gifts to Minors Act, and Samuel T. Usher vs. Respondents Hearing Site: Los Angeles, California Todd A. Brooks Scott 8. Brooks Bambi

AMENDED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Behrt^een: Names of Claimants Gerald D. Dassow and Mary T. Dassow, Individually and as Trustees of the Gerald and Mary Dassow Trust DTD 8/6/04, Gerald D. Dassow, as Trustee of the Timothy G. Dassow Trust DTD 10/20/99, Gerald D. Dassow, as Trustee of the Anthony G. Dassow Trust DTD 10/19/99, Gerald D. Dassow, as Trustee of the Michele M. Dassow Trust, DTD 10/19/99,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-02672 James A. and Annette Carter Charitable Remainder Trust James A. Carter Name of Respondents Hearing Site: Los Angeles, California First Allied Securities, Inc. First Allied Advisory Sen/ices, Inc. Brookstone Securities, Inc. Blair C. Mieike Nature of Dispute: Customers vs. Members, Non Member, and Associate

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-00973 Michael 8. Fletcher & Linda Fletcher, Ronald Relfler, on behalf of the Ronald Reifler Revocable Trust DTD 10/23/2007, and John Speros, individually and as managing member of John Speros, LLC vs. Respondent Hearing Site: Atianta, Georgia J.P. Turner & Company, L.L.C. Nature of the Dispute: Customers vs. Member REPRESENTAT

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04979 Wells Fargo Advisors Financial Network, LLC Respondent Hearing Site: Phoenix, Arizona David Lynn Allen Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors Financial Network, LLC, hereinafter referred to as "Claimant": Gregory S. Tendrich, Esq., Gregory Tendrich, P.A.,

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01828 Alejandro Velez (Claimant) vs. E*Trade Securities, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant Alejandro Velez, hereinafter referred to as "Claimant" appeared pro se, Weston, PL. For Respondent appeared Meredith A. Felde, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 9, 2011 CASE SUMMARY: Claimant asserted the following cause

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Robert B. West Case Number: 10-02646 vs. Respondent UBS Financial Services Inc. Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Robert B. West, hereinafter referred to as "Claimant": Kevin Galbraith, Esq., Zamansky & Associates, LLC, New York, NY. Respondent UBS Financial Servi

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02372 Amy F. Diamond vs. Respondents Hearing Site: New York, New York John W. Loofbourrow Associates John W. Loofbourrow Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Amy F. Diamond, hereinafter referred to as "Claimant": David S. Richan, Esq., Baritz & Colma

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Newedge USA, LLC Case Number: 10-03704 vs. Respondent Patrick Emilian Knoell Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Newedge USA, LLC, hereinafter referred to as "Claimant": Perry M. Amsellem, Esq., Pryor Cashman LLP, New York, NY. Respondent Patrick Emilian Kn