AWARD FINRA DISPUTE RESOLUTION CASE: 11-01080 Merrill Lynch, Pierce, Fenner & Smith Incorporated vs. Jeffrey Scott Farmer REPRESENTATION OF PARTIES: For Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Olga Y. Wayne, Esq., Rubin, Fortunato & Harbison, P.C. Jeffrey Scott Farmer, hereinafter referred to as "Respondent," did not appear. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: March

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent UBS Financial Services Inc. Respondent/Counter-Claimant Mark Edward Graham Case Number: 10-00952 Hearing Site: Seattle, Washington Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent UBS Financial Services Inc., hereinafter referred to as "Claimant": Devin A. Donohue, Esq. an

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Wells Fargo Advisors, LLC vs. Name of Respondent / Counter-Claimant Thomas Preston Osborn Case Number: 11-00367 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC ("Claimant") was represented by Renan 1. Sugarman, Esq., Renan

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Patrick M. Mendenhall vs. Case Number: 09-06504 Hearing Site: Houston, Texas Name of Respondent/Counter-Claimant UBS Financial Services, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Patrick M. Mendenhall ("Claimant") was represented by Brian E. Bro, Esq., Law Offices of Brian E. B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Citigroup Global Markets, Inc. vs. Respondent/Counter-Claimant Kevin James Caputo Case Number: 09-03353 Hearing Site: Los Angeles, California Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Justin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-01392 Debra D' Antonio Estate of Betty J. Miller vs. Respondents Thomas Anthony Aloi Ronald Peter Funari Janney Montgomery Scott LLC Phillips Alan Vars Smith Hearing Site: Syracuse, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Debra L. D' Antonio (

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00177 Eduardo Morkunas (Claimant) vs. Sophronia Allen and Morgan Keegan & Company, Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Coral Gables, FL. Respondent Sophronia Allen did not enter an appearance in this matter. For Respondent Morgan Keegan & Company, Inc., appeared William McCourt Schmitt, Jr., Esq., Morgan Keegan & Company, Inc., Memphis, IN. NATURE OF DISPUTE: A

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Steve Stolaruk vs. Names of Respondents Pershing, LLC, Equitas America, LLC, Kenneth David Warnick, and Paul Leo Stanley Case Number: 10-02669 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Steve Stolaruk ("Claimant") was represented by Charles M. Penz

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant . Stuart James Siegel Case Number: 11-01916 vs. Respondents John L. Gwynn, Jr. Martha L. Gwynn Mary L. Gwynn Martha M. Gwynn Rev. Trust UAD 5/14/90 Hearing Site: Tampa, Florida Nature of the Dispute: Associated Person vs. Customers REPRESENTATION OF PARTIES For Stuart James Siegel, hereinafter referred to as "Claimant": Marc S. Dobin,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant William James Johnson Case Number: 10-03164 vs. Respondent Charies Schwab & Co., Inc. Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES William James Johnson, hereinafter referred to as "Claimant," appeared pro se. Charies Schwab & Co., Inc., hereinafter referred to as "Respondent"