Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-00170 Wells Fargo Advisors LLC f/k/a Wachovia Securities, LLC Respondent Hearing Site: Phoenix, Arizona Anna M. Clark Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Renan I. Sugannan, Esq., Renan Sugannan, P.C.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-01624 Bryce K. Jones and Sevi R. Jones, Individually and as Co-Trustees of the Jones Family Living Trust Respondents Hearing Site: San Francisco, California Scott Hollaender Natalie Cegielski Papagni UBS Financial Services Inc. Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Bryce K.

AWARD FiNRA DISPUTE RESOLUTION CASE: 11-00349 Marilyn Strauss Levy (Claimant) vs. RBC Capital Markets LLC and Greg Buckner (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Wilmington, NC. For Respondents appeared Joseph F. Keenan, Esq., McCanliss & Early, LLP, New Yoik, NY and Roseann G. Viseardi, RBC Capital Markets LLC, New York, NY. NATURE OF DISPUTE: Customer vs. Member and Associated Person PATE FILED: January 25, 2011 C

Award FINRA Dispute Resolution In the Matter of the Arbitiration Between: Claimants Case Number: 10-03343 Wanen Becker and Norma Becker as Trustees of the Becker Family Trust dtd 10/10/98 Respondents Hearing Site: Los Angeles, Califomia Andrew Melikidse Sagepoint Financial, Inc. Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Warren Becker and Norma Becker as Trustees of the Becker Fam

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant/Counter-Respondent Master Consolidated Case Number: 10-01307 Morgan Stanley Smith Bamey Respondent/Counter-Claimant Hearino Site: Denver, Colorado Todd Michael Schwartz Consolidated with: Claimant/Counter-Respondent Subordinate Case Number: 10-01306 Morgan Stanley Smith Barney Respondent/Counter-Claimant Hearino Site: Denver, Colorado Garner Alien Mabry, IV

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley & Co., incorporated as successor-in-interest of Morgan Stanley DW, Inc. vs. Case Number: 10-04379 Hearing Site: Chicago, Illinois Name of Respondent Derrick T. Watts NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Incorporated as successor-in-interest of Morgan Stanley DW, inc.

AWARD FiNRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant M. Kent Gillespie vs. Name of Respondent David J. Herzog Case Number: 11-03274 Hearing Site: Houston. Texas NATURE OF THE DISPUTE Customer vs. Associated Person REPRESENTATION OF PARTIES M. Kent Gillespie ("Claimant") was represented by Samuel B. Edwards, Esq., Shepherd Smith Edwards & Kantas, LLP, Houston, Texas. David J. Herzog ("Respond

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00960 Dylan Brooks (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Winston Salem, NC. For Respondent appeared Meredith A. Felde, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 7, 2011 CASE SUMMARY: Claimant asserted the following cause of action: gross negligence. The cause of action relates to

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05207 Wells Fargo Advisors, LLC (Claimant) vs. Michael Leake (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, ill, Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared Bryce H. Bennett, Jr., Esq., Riley, Bennett & Egloff, LLP, Indianapolis, IN. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 16, 2010 CASE SUMMARY: Claimant asserted the following

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Denerstein (Claimant) vs. Westminster Financial Securities, Inc. and Lawrence Miles Brazie (Respondents) Case Number: 10-03257 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Richard Denerstein, hereinafter referred to as "Claimant": Dan A. Druz, Esq., Law Office of Dan A. Dr