Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03040 Ronald Richard Brown, Jr. Respondent Hearing Site: Charlotte, North Carolina Wells Fargo Advisors, LLC Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Ronald Richard Brown, Jr., hereinafter referred to as "Claimant": Christopher M. Whelchel, Esq., Gray, Layton, Kersch, Solomon, Furr & Smith, P.A., Gastonia, Nor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Daniel V. Igoe Respondents John Anthony Orlando Mickey Paul McLellan Peter Donald Andolpho. Jr. American Vision Financial Group, Inc. Michael Edward Petrusha Case Number: 09-04594 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Non-Member and Associated Person. REPRESENTATION OF PARIES Daniel V. igoe, hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-04586 Staton Family Investments, Ltd. Daniel C. Staton Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. Merrill Lynch Bank USA Merrill Lynch Bank & Trust Company FSB Christopher Dale Jacobs Margot M. Dwyer James R. Dickson Gerald Andres Schwinn, Jr. The Jacobs Team Nature of the Dispute: Cus

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joan Martin (Claimant) vs. Wells Fargo Advisors, LLC as successor to Wachovia Securities, LLC (Respondent) Case Number: 10-00548 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Joan Martin, hereinafter referred to as "Claimant": Brian Kennedy, Esq., Law Office of Brian Kennedy, New York, NY. Respondent Wells Farg

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Eric J. Flaim (Respondent) Case Number: 10-00400 Hearina Site: Manchester, New Hampshire Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Ronald P. Kan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-03670 Robert R. Banks Robert R. Banks IRA Vita Banks Vita Banks IRA Name of Respondent Hearing Site: San Diego, California Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Robert R. Banks, Robert R. Banks IF^, Vita Banks, and Vita Banks IRA, her

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05763 John P. Fowlds and Brenda J. Fowlds (Claimants) vs. PNC Investments, LLC f/k/a NatCity Investments, Inc., and James Galloway (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Richard A. Stephens, Esq., Law Office of Richard A. Stephens, Beech Mountain, NC. For Respondents appeared Brian A. Carlis, Esq., Stark & Stark, P.C., Princeton, NJ. NATURE OF DISPUTE: Customers vs. Member and Associated

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00380 Dale Gibbons (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Phoenix, AZ. For Respondent appeared l\/leredith A. Faro, Esq., FMR LLC, Boston, MA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 29, 2011 CASE SUMMARY: Claimant alleged that Respondent breached its contractual obligations by closing a short position in an account

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ira Robb, Individually and as General Partner of Iracini Equity, LP, and as Beneficiary of the Ira Robb Rollover IRA, Edward W. Leshin, as Beneficiary of the Edward W. Leshin Rollover IRA, and Leonard and Kimberiy Almaiech, as Co-Trustees of the Almaiech Living Trust vs. Case Number: 10-02252 Hearing Site: Chicago, Illinois Names of Respondents

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Raymond Masiliunas vs. Case Number: 10-00728 Hearing Site: Chicago, Illinois Name of Respondent Morgan Stanley Smith Barney, LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Raymond Masiliunas ("Claimant") was represented by Sandor L. Grossman, Esq., Law Offices of Sandor L. Grossman, Chicago, Illinois. Morgan