stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant/Counter-Respondent Case Number: 10-01749 Morgan Stanley Smith Bamey. LLC Respondent/Counter-Claimant Hearing Site: Seattle, Washington Ronald James Barton Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Morgan Stanley Smith Barney, LLC, hereinafter referred to as "

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Case Number: 10-04538 Morgan Stanley Smith Bamey, LLC Name of Respondent Hearing Site: Reno, Nevada Walter Michael Katai Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Bamey, LLC, hereinafter referred to as "Claimant": Yana Kromo, Esq., Alonso, Andalkar & Kahn, P.C., New York, New York. Respondent

Award FINRA Dispute Resolution in tlie Matter of tlie Arbitration Between: Claimant Case Number: 10-02729 Tim Joslen Respondents Hearing Site: Seattle, Washington Gary Kevin Akiyama Symetra Investment Services, Inc. Akiyama Financial Services, LLC Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant, Tim Joslen, hereinafter referred to as "Claimant": Robert S. Banks, Jr., Esq. and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04487 John Franklin Sullivan Respondents Hearing Site: Boca Raton, Florida Ameriprise Advisor Services, Inc. Ameriprise Financial Services, Inc. Douglas Ray Aldridge Christopher Michael Zelesnick Joan Kelly Cohen Michael Anthony Barrella Anthony Joseph Juliano Andrew Milton Kistler, III Kathleen A. Dedenbach Frank N. Teodosio N

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00609 Securities America, Inc. (Claimant) vs. Gamal K. Davis (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Kelly Davis, Esq., Securities America, Inc., La Vista, NE. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 10, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. AR

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01345 Morgan Stanley Smith Barney, LLC (Claimant) vs. Jonathan Benham (Respondent) REPRESENTATION OF PARTIES: For Claimant Morgan Stanley Smith Barney, LLC: Laura J. Starr, Esq., Welsman, Brodie, Starr & Margolies, P.A., Lake Worth, Florida. Respondent Jonathan Benham did not appear, NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: March 31, 2011. CASE SUMMARY: Claimant asserted the cause of actio

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dr. Seymour L. Rapp, Individually and as Trustee of the Seymour L Rapp Trust, and Dorothy Rapp, Individually vs. Case Number: 09-03910 Hearing Site: Detroit, Michigan Names of Respondents Morgan Stanley & Co., Inc. and Dominic Nieto NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Dr. Seymour

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Mark T. Miller vs. Case Number: 08-00252 Hearing Site: Cleveland, Ohio Names of Respondents Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC f/k/a First Union Securities, Inc. and Robert Lee White NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Mark T. Miller ("Claimant" or "Miller") was represente

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00160 Dorothy Calrow (Claimant) vs. 1ST Global Capital Corp. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Preseott Valley, AZ. For Respondent appeared Michael A. Pagano, 1st Global Capital Corp., Dallas, TX. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: January 13. 2010 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: Claimant Case Number: 10-05314 Morgan Stanley & Co., Incorporated (formerly Morgan Stanley DW Inc.) Respondent Hearing Site: Phoenix, Arizona Odai Vir Singh Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley & Co., Incorporated (fomnerly Morgan Stanley DW Inc.), hereinafter referred to as "Claimant" or "Morgan Stanley": Dian