Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02177 JonesTrading institutional Services LLC vs. Respondents Hearing Site: New York, New York Nomura Securities International, Inc. Mark A. Edgar Charles J. Manning Douglas A. Finnegan, Jr. Meredith J. Curley Ermenegildo Niutta consolidated with Claimant Case Number: 10-03117 Mark Edgar vs. Respondent Hearing Site: New Yor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-04494 Gene A. and Janice M. Hedlund, Individually and as Trustees of The Odyssey 2000 Rev Trust DTD 8/14/1989 and The Odyssey 2000-Friar's Branch Crossing LLC and their respective IRAs Respondents Hearing Site: San Diego, California Waveland Capital Partners LLC John D. Lauer Nature of the Dispute: Customers vs. Member and Associated Person

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert Joseph Bickham vs. Case Number: 11-02056 Hearing Site: Houston, Texas Name of Respondent UBS Financial Sen/ices, inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Robert Joseph Bickham ("Claimant" or "Bickham") was represented by Merredith A. Cunningham, Esq., Barrasso Usdin Kupperman Freeman & Serve, New Orl

AWARD FINRA Dispute Resoiution in the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Regal Securities, Inc. vs. Case Number: 10-00690 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Ciaimant Randy Millen NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Regal Securities, Inc. ("Claimant" or "Regal") was represented by Nicholas P. lavarone, Esq., The lavarone Law Firm, Chicag

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley Smith Barney, LLC vs. Case Number: 11-01228 Hearing Site: Dallas, Texas Name of Respondent Bruce G. Lanahan NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Barney, LLC ("Claimant" or "Morgan Stanley") was represented by Diane C. Fischer, Esq. and Paul T. Cahill, Esq., Kane

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Advisors, LLC vs. Case Number: 10-04938 Hearing Site: Houston, Texas Name of Respondent Aaron Hansz NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC ("Claimant" or "Wells Fargo") was represented by Christopher S. Griesmeyer, Esq. and Keara K. Roethke, Esq., Greiman, Rome & Griesmeye

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Judy Christina Phinizy vs. Case Number: 10-04203 Hearing Site: Houston, Texas Name of Respondent Moody Securities, LLC NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Judy Christina Phinizy ("Claimant") was represented by Lewis Harley, Esq., Harley Law Group, East Houston, Texas. Moody Securities, LLC ("Respondent"

AWARD FINRA DISPUTE RESOLUTION CASE: 11-02114 Morgan Stanley Smith Barney, LLC ("Claimant") vs. Nick John Kerrigan ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, Illinois For Respondent: Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 25, 2011 CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. Claimant alleged th

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Banc of America Investment Services, Inc. vs. Name of Respondent / Counter-Claimant James David Dingle Case Number: 09-01691 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant" or "BOAIS") was represented by Ronal

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Marcella Wall (Claimant) vs. Janney Montgomery Scott LLC, Paul Hagerty and Jonathon Leise (Respondents) Case Number: 10-03635 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Marcella Wall, hereinafter referred to as "Claimant": Byron L. Milner, Esq., Law Office of Byron L. Milner, King