Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David L. Halter (Claimant) vs. RBC Capital Markets Corporation and Robert Paretti (Respondents) Case Number: 10-02693 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTiES Claimant David L. Halter hereinafter referred to as "Claimant": James W. Halter, Esq., Liddle & Robinson, LLP, New York, NY.

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Maurice Rosen (Claimant) vs. EKN Financial Services, Inc. and Edward Scott Short (Respondents) Case Number: 10-02046 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTiES Claimant Maurice Rosen, hereinafter referred to as "Claimant": Richard A. Roth, Esq., The Roth Law Firm. PLLC, New York, NY. Respondents

Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04741 Chariemagne Louis-Charies Respondent Hearing Site: Boca Raton, Florida SunTrust Investment Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Chariemagne Louis-Charies, hereinafter referred to as "Claimant," appeared pro se. For SunTrust Investment Sen^ices, Inc., hereinafter referred to as "Respondent"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lisa M. Francis (Claimant) vs. Bluestone Capital Corporation (Respondent) Case Number: 10-01249 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Lisa M. Francis, hereinafter referred to as "Claimant" appeared pro se. Respondent Bluestone Capital Corporation, hereinafter refen^ed to as "Respondent" did not ent

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01810 Wells Fargo Advisors, LLC ("Claimant") vs. James Merrick ("Respondent") REPRESENTATION OF PARTIES: For Claimant James Van Dyke, lit, Esq., Welts Fargo Advisors, LLC Legal Division, St Louis, Missouri. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: May 5. 2011. CASE SUMMARY: Claimant asserted the cause of action of breach of the promissory note dated November

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05747 UBS Financial Services Inc. vs. Russell M. Hill REPRESENTATION OF PARTIES: For Claimant: Michael T. Roche, Esq., Schuyler, Roche & Crisham, P.C., Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 22, 2010. CASE SUMMARY: Claimant asserted the causes of action of 1) breach of contract; and, 2) unjust enrichment The causes of action relat

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11 -02557 Edward Jones Respondents Hearing Site: Atlanta. Georgia Morgan Stanley Smith Barney Judson Shore Doster Joseph Todd Emily Richard Scott Phelan Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edward Jones, hereinafter referred to as "Claimant": Christopher A. Pickett, Esq., Goldberg Picke

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03046 Jason Roberts Coles Respondent Hearino Site: Los Angeles, California Wells Fargo Investments, LLC Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Jason Roberts Coles, hereinafter referred to as "Claimanf: Christine A. Page, Esq., Gilchrist & Rutter, Santa Monica, California. Respondent, Wells Fargo Inv

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-02514 A! Trevlsan Trevisan, Oison and Pyle Investments LLC Respondent Hearing Site: San Diego, California Daniel Martin Croke Nature of the Dispute: Customers vs. Associated Person REPRESENTATION OF PARTIES Claimants, Al Trevisan and Trevisan, Olson and Pyle Investments LLC ("TOP"), hereinafter referred to collectively as "Claimants": Al Trevisan

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Claimant Case Number: 09-01364 Debra A. Swann Respondent Hearina Site: Balfimore, MD Morgan Stanley & Co., Inc. Nature of the Dispute: Customer vs. Member. Public AriDitrator Pilot Program/Ail Public Panel REPRESENTATION OF PARTIES Debra A. Swann, hereinafter referred to as "Claimant," appeared pro se. For Morgan Stanley & Co., Inc. (Morgan Stanley), hereinafter referred