AWARD FINRA DISPUTE RESOLUTION CASE: 11-01859 Gerald J. O'Halloran (Claimant) vs. Walter Vazquez (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Punta Gorda, FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Associated Person vs. Associated Person DATE FILED: May 6, 2011. CASE SUMMARY: Claimant asserted the following causes of actions: collection and breach of contract. Claim Data C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Jamie Blumenthal and Nancy Blumenthal vs. Case Number: 09-04480 Hearing Site: Dallas, Texas Names of Respondents EmmettA. Larkin Company, Inc., Gordon Hing, Don L. Torrillo, Brian J. Wahlfeld, Sterne Agee Clearing, Inc., Sterne Agee Financial Services, Inc., and Sterne, Agee & Leach, Inc. NATURE OF THE DISPUTE Customers vs. M

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Eari I. Duhon and Lillie H. Duhon vs. Case Number: 10-03186 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Merrill Lynch Life Agency, Inc., and Robert T. Shriver NATURE OF THE DISPUTE Customers vs. Member, Customer and Associated Person REPRESENTATION OF PARTIES Eari I. Duhon and Li

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Linda L. Eisner Gerald G. Eisner Case Number: 10-05310 vs. Respondents Roger Clement Clement Financial Sen/ices, Inc. Proequities, Inc. Jeffrey W. Reeves Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customers vs. Member, Associated Persons, and Non-Member The case proceeded under the Majority Public Panel rule/ Majority

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant UBS Financial Services Inc. Case Number: 10-05526 vs. Respondent Jeffrey Scott Goodman Hearing Site: Nashville, Tennessee Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant UBS Financial Services Inc., hereinafter referred to as "Claimant": Michael F. Braun, Esq., Schuyler, Roche & Crisham, P.O., Chicago, IL

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Janney Montgomery Scott LLC Case Number: 11-00139 vs. ResDondent Bradlee P. Hager Hearing Site: Durham, North Carolina Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Janney Montgomery Scott LLC, hereinafter referred to as "Claimant": Jill B. Clarke, Deputy General Counsel, Janney Montgomery Scott LLC, Philadelphi

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01076 Estate of Lois E. Walker (Claimant) vs. Wells Fargo Advisors, LLC (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Peter F. Walker. Dallas, TX. For Respondent appeared Deidre Wolff, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 15, 2011 CASE SUMMARY: Claimant asserted the following cause of action: improper sale of

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01940 Wells Fargo Advisors Financial Network, LLC (Claimant) vs. Richard Brooks (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jessica G. Klein, Wells Fargo Advisors Financial Network, LLC, St. Louis, MO. For Respondent appeared David M. Lazarus, Esq., Fromberg, Periow & Kornik, P.A. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: May 13, 2011. CASE SUMMARY: Claiman

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-05307 Thomas Frothingham vs. Respondents Hearing Site: New York, New York James Conlin Kabrik Trading, LLC Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Thomas Frothingham, hereinafter referred to as "Claimant": Louis H. Miron, Esq., Attorney At Law, Westfiel

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04406 Matthew Borden vs. Respondent Hearing Site: Philadelphia, Pennsylvania Janney Montgomery Scott LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Matthew Borden, hereinafter referred to as "Claimant": Adam Green, Esq., The Law Office of Adam Green, Philadelphia, PA. Respondent Janney Montgomery