AWARD FINRA DISPUTE RESOLUTION CASE: 11-01444 Coleman John Burns (Claimant) vs. Steven Perillo and Wells Fargo Advisors, LLC (Respondents) REPRESENTATION OF PARTIES: Coleman John Burns, hereinafter referred to as "Claimant" appeared pro se. Respondents Steven Perillo ("Perillo") and Wells Fargo Advisors ("Wells Fargo"), hereinafter collectively referred to as "Respondents": Brent J. Burtin, Esq., Wells Fargo Advisors. LLC. St. Louis. MO.

. I Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Claimant Case Number: 10-03328 Vincent Bellino vs. Respondent Hearing Site: Newark, New Jersey Wachovia Securities, LLC n/k/a Wells Fargo, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Vincent Bellino, hereinafter referred to as "Claimant": Marc D. Ramundo, Esq., Law Office of Marc D. Ramundo, LLC, Fort Lee, NJ.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant ceo Investment Services Corp. vs. Respondent Ronald A. Aungst Case Numt)er: 11-00926 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant CCO Investment Services Corp., hereinafter refened to as "Claimanr: David M. Belcher, Esq., Belcher, Starr & Fitzgerald L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Douglas R. Mack and Dianne W. Mack, as Joint Tenants, Douglas R. Mack, on behalf of the IRA FBO Douglas R. Mack Pershing LLC as Custodian Roth Account, SEP FBO Douglas R. Mack Pershing LLC as Custodian, Douglas R. Mack Simple IRA-Pershing LLC Oust, and the IRA FBO Douglas R. Mack Pershing LLC as Custodian, and Dianne W. Mack on behalf of the IRA

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05120 UBS Financial Sen/ices, Inc. (Claimant) vs. Patrick Broderick (Respondent) REPRESENTATION OF PARTIES: For Claimant Michael D. Lee, Esq., UBS Financial Services, Inc., Chicago, Illinois. For Respondent Respondent did not appear.. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 19, 2010 CASE SUMMARY: Claimant asserted the following cause of action: Breach of a settie

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Frank M. Taylor and Taylor Affiliates, LLC Case Number: 10-03642 vs. Respondents Securian Financial Services, Inc. and Salvatore Joseph Durso Hearing Site: Detroit, Michigan Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Frank M. Taylor and Taylor Affiliates, LLC, hereinafter referre

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Florian P. Wisniewski and Marilyn A. Wisniewski vs. Name of Respondent Wells Fargo Advisors, LLC Case Number: 10-05040 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Florian P. Wisniewski and Marilyn A. Wisniewski, hereinafter collectively referred to as "Claimants," were

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Mary V. Daige vs. Respondent Wells Fargo Advisors, LLC Case Number: 10-03824 Hearing Site: Albuquerque, New Mexico Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Mary V. Daige, hereinafter referred to as "Claimant": Christopher J. Gray, Esq., Christopher J. Gray, P.C., New York, NY. Respondent Wells Fargo Adv

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants David Pessel IRA David Pessel Roth IRA Eric Pessel IRA Eric Pessel Trust Account Jason Pessel IRA Jason Pessel Roth IRA Jason Pessel Cara Pessel Eric Pessel Rhone Pessel IRA Rhone Pessel Roth IRA Sylvia Stiftel Trust Respondent Morgan Keegan & Company, Inc. Case Number: 10-03431 Hearing Site: Denver, Colorado Natur

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent UBS Financial Services, Inc. Respondent/Counter-Claimant William A. Northend Case Number: 10-03827 Hearing Site: San Francisco, California Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent UBS Financial Services, Inc., hereinafter referred to as "UBS" or "Claimant": Robert