Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-03203 Kevin Joseph Schaefer Name of Respondent Hearing Site: San Francisco, California UBS Financial Services Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Kevin Joseph Schaefer. hereinafter referred to as "Claimant": Jason A. Pollack, Esq., Law Office of Jason A. Pollack, Los Angeles, California.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05645 Bobby Karim Panahi Respondents Hearing Site: Los Angeles, California UBS Financial Sen/ices, Inc. Trevis Clint Rucci Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Bobby Karim Panahi, hereinafter referred to as "Claimant": Peter M. Kunstler, Esq., Makarem & Associates, APLC, Los Angeles,

Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Claimants Case Number: 09-07101 The Brown Revocable Living Trust Pamela Joy Brown Respondents Hearing Site: Los Angeles, California Wells Fargo Investments, LLC Patrick Darin Vance Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, The Brown Revocable Living Trust ("Brown Trust") and Pamela Joy Brown ("Brown"), here

Award FINF^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02836 UBS Financial Services Inc. Name of Respondent Hearing Site: Phoenix, Arizona Misty Rae Eslinger Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Sen/ices Inc., hereinafter referred to as "Claimant": Devin A. Donohue, Esq., and Arti L. Bhimani, Esq., Palmer, Lombardi & Donohue LLP, Los

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-04813 Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC Name of Respondent Hearing Site: San Francisco, California Thomas J. DeBono 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 "Weils Fargo" or "Claimant"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-03480 Nick Shahrestany Milan investments, LP Respondents Hearing Site: Los Angeles, California Morgan Stanley Smith Barney Brian Jason Murphy Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Nick Shahrestany ("Shahrestany") and Milan Investments, LP, hereinafter referred to collectively as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01380 Eleanor Levins Respondent Hearing Site: Boca Raton, Florida Neuberger Berman LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Eleanor Levine, hereinafter referred to as "Claimant": Jason S. Haselkorn, Esq., and Matthew N. Thibaut, Esq., Casey Ciklin Lubitz Martens & OConnell, West Palm Beach, Florida. For Neu

stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 09-01362 Stuart Bedrin Stuart Bedrin Revocable Taist TTEE Stuart Bedrin Margaret Davon Margaret F. Davon Revocable Taist TTEE Margaret Davon Dorothea Jacoby Revocable Trust TTEE Margaret Davon Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Mari< ets, Inc. Nature of the Dispute: Customer vs. Member.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05433 Adriana E. Suazo and Adrian P. Suazo (Claimants) vs. Scottrade, Inc., and TD Ameritrade, Inc. (Respondents) REPRESENTATION OF PARTIES: Claimants appeared pro se, Fort Pierce, FL. For Respondent Scottrade, Inc., appeared Niels P. Murphy, Esq., Murphy & Anderson, P.A., Jacksonville, FL. For Respondent TD Ameritrade, Inc., appeared Hollie M. Mason, Esq., TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPU

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ned L. Feldenkreis (Claimant) vs. Ameriprise Financial Services Inc. (Respondent) Case Number: 10-03354 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Ned L. Feldenkreis, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Law Offices of Debra G. Speyer, Philadelphia, PA. Respondent Ameriprise Fina