Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mary Helen Powers (Claimant) vs. Direct Trading Institutional, L.P., WallStreet*E Financial Services, Inc., Epic Advisors, L.L.C., Merrill Lynch, Pierce, Fenner & Smith, Inc., Ridge Clearing & Outsourcing Solutions, Inc., and Sean Hannon (Respondents) Case Number: 09-07172 Hearing Site: Newark. New Jersey Nature of the Dispute: Customer vs. Members, Associated Person and Non-Member R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-01724 Morgan Stanley Smith Bamey, LLC Respondent Hearing Site: Los Angeles, California Gregory P. Holmes Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Bamey, LLC, hereinafter referred to as "Claimant": Timothy N. Will, Esq., Albert: & Will, LLP, Torance, California. Respondent, Gregory

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nua Shala, ARI International, Inc., and ORA Business Services, Inc. (Claimants) vs. Merrill Lynch, Pierce Fanner & Smith, Inc., and Robert Scott Silva (Respondents) Case Number: 10-04129 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. The case proceeded under the Majority Public Panel rule/Majority Public Panel. REPRESENTATION OF PAR

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-00119 Delana Blake Respondents Hearing Site: Birmingham, Alabama Morgan Stanley & Co. Incorporated Morgan Stanley Smith Barney Ryan Hamm Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Delana Blake, hereinafter referred to as "Claimant": J. Gusty Yearout, Esq. and Jason L. Yearout, Esq., Yearout

AWARD FINRA DISPUTE RESOLUTION CASE: 11-^00018 Jan E. Harris-Kimball, Jan E. Harris-Kimball ROTH IRA, and Jan E. Harris-Kimball Traditional IRA (Claimants) vs. Scottrade Inc., A wholly-owned subsidiary of Scottrade Financial Services, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Jan E. Harris-Kimball, Pliilomath, OR. For Respondent appeared Niels P. Murphy, Esq., Murphy & Anderson, P.A., Jacksonville, FL. NATURE OF DISPUTE

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01274 Renato Garcia Virata, Jr. (Claimant) vs. Invesco Distributors, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Houston, TX. For Respondent appeared Wes R. McCart, Esq., Alston & Bird LLP, Atlanta, OA. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: March 30, 2011 CASE SUMMARY: Claimant asserted the following cause of action: expungement of Form U5. Claim Data Awar

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Harry M. Canavesi vs. Case Number: 10-04207 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Incorporated NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Harry M. Canavesi ("Claimant") was represented by Foster S. Goldman, Jr., Esq., Goldman Schafer & Spear, PC, Pittsburg

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Adolph J. Hozempa and Mary A. Hozempa vs. Case Number: 10-03674 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Wachovia Securities, LLC and Kevin James Coyne NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Adolph J. Hozempa and Mary A. Hozempa ("Claimants") were represented by Robert M.

AWARD FINRA Dispute Resolution In the Matter of the ArtDitration Between: Name of Claimant Richard Paul Wade vs. Name of Respondent W&S Brokerage Services, inc. Case Number: 10-04796 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Richard Paul Wade ("Claimant" or "Wade") was represented by Charles R. Stone, Esq., Weiss Berzowski Brady, LLP, Milwaukee, Wisconsin. W&

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-00389 A.G. Edwards, a division of Wachovia Securities, LLC k/n/a Wells Fargo Advisors, LLC Respondent Hearing Site: Baltimore, Maryland Nicholas D. Innerbichler Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For A.G. Edwards, a division of Wachovia Securities, LLC k/n/a Wells Fargo Advisors, LLC, hereinafter ref