Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Keegan & Co., Inc. (Claimant) vs. Gregory J. Costelto and North Brae Capital Group, Inc. (Respondents) Case Number: 10-05233 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers. The case proceeded under the Optional All Public Panel rule/Majority Public Panel REPRESENTATION OF PARTIES Claimant Morgan Keegan & Co., Inc., hereinafter referred to as "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05551 Michael H. OhIfs Name of the Respondent Hearing Site: Denver, Colorado Charles Schwab & Co., Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Michael H. OhIfs, hereinafter referred to as "Claimant": George C. Aucoin, Esq., Law Offices of George C. Aucoin, APLC. Mandevllle. Louisiana. Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-01541 Thomas Mulvey and Diane Mulvey Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Incorporated Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Thomas Mulvey and Diane Mulvey, hereinafter collectively referred to as "Claimants": Richar

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Claimant Case Number: 09-06144 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Respondent Hearing Site: Tampa, Florida Stephen W. Lowther Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Fiore & Levine, PLL

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00891 UBS Financial Services Inc. (Claimant) vs. Robert A. Cataldo (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Edward C. Nowak, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Respondent appeared pro se, Lexington, MA. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: March 2, 2011 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract and unjus

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Marion Scott Dubinsky vs. Name of Respondent Ameriprise Financial Services, Inc. Case Number: 10-02538 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Marion Scott Dubinsky ("Claimant" or "Dubinsky") was represented by Gerald T. Laurie, Esq., Laurie & Laurie, PA, St. Louis Pari<

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-06722 Stephen Dean Trerotola Michael Dennis Trerotola Lon B. Isaacson Lon B. Isaacson Associates Name of Respondents UBS AG UBS Securities LLC UBS Financial Services Inc. Richard Franks! Joseph Sulentor Michael Ladge Shawn Patt James Shelburne Name of Counter-Claimants UBS AG UBS Securities LLC UBS

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Skop and Lynne Skop (Claimants) vs. Elaine Regan and Wells Fargo Advisors, LLC f/k/a A.G. Edwards & Sons, Inc. (Respondents) Case Number: 10-05055 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Associated Person and Member The case proceeded under the Majority Public Panel rule/ Majority Public Panel REPRESENTATION OF PARTIES Claimants Richard Skop (

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Advisors, LLC vs. Name of Respondent Thomas Marshall Jones Case Number: 11-00151 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC ("Claimant") was represented by Renan I. Sugarman, Esq., Renan Sugarman, PC, Chicago, Illinois. Thomas Marshall Jone

AWARD FINRA Dispute Resolution In the Matter of the AriDitration Between: Names of Claimants Steven A. Irsay and Richard S. Irsay vs. Case Number: 10-02160 Hearing Site: Chicago, Illinois Names of Respondents Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC, Woodrow Jason Jones, Daniel Hughes, Danica King and Greg Weils NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Steven A. Irs