AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Donald BunA/ell and Marjorie Burwell vs. Name of Respondent A.G. Edwards & Sons, Inc. Case Number: 09-03967 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Donald Bunvell and Marjorie Bun^^ell ("Claimants") were represented by Bruce D. Oakes, Esq., Oakes & Fisher, LLC, St. Louis, Missouri.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Joel T. LeVahn and JOlene M. LeVahn vs. Case Number: 09-03299 Hearing Site: Minneapolis, Minnesota Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Peter Eckeriine Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Joel T. LeVahn and Jolene M. LeVahn, hereinafter collectively referred to as "Claimants," we

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 10-03249 Raymond F. Mendez and Margaret A Mendez Revocable Trust Name of Respondent Hearing Site: Albuquerque. New Mexico Wells Fargo Investments, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Raymond F. Mendez and Margaret A. Mendez Revocable Trust, hereinafter referred to as "Claimant": Raymond F. Mendez,

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02564 Pandora Bronson Lupino Respondents Hearing Site: Norfoll< , VA Jeffrey Alan Martinovich Jeffrey Stephen Geraci Brian Matthew Krovic Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTiES For Pandora Bronson Lupino, hereinafter referred to as "Claimant": Theresa (Terry) Joseph, Power of Attorney, Pandora

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dennis D. Soderstrum vs. Case Number: 10-02369 Hearing Site: Des Moines, Iowa Names of Respondents Berthel Fisher & Company Financial Services, Inc. and Ronald S. Helland NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Dennis D. Soderstrum ("Claimant") was represented by Brenton D. Soderstrum, Esq., Br

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Esposito Securities, LLC vs. Case Number: 09-06133 Hearing Site: Dallas, Texas Names of Respondents WFG Investments, Inc., Daniel Biaggio, Francis Robert Merrill, Michael Marchand, and Stephen Capurso NATURE OF THE DISPUTE Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Esposito Securities, LLC ("Claimanf or "Esposito Securi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01032 Clarence S. Frisbee Name of Respondent Hearing Site: Helena, Montana Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Clarence S. Frisbee, hereinafter referred to as "Claimant": Clarence S. Frisbee, pro se, Kalispell, Montana. Respondent, Merril

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02435 Succession of Newman Trowbridge, Jr. through its executrix, Lee Trowbridge Respondents Hearing Site: New Orleans, LA Capital One Investment Services, LLC Rick E. Schenck, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Succession of Newman Trowbridge, Jr. through its executrix, Lee

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-03809 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of Respondent/Counter-Claimant Hearing Site: San Francisco, California Ciro Gilbert Cavazos Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wells Fargo Advisors, LLC

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. John J. Ryan (Respondent) Case Number: 07-02619 Hearing Site: New Yori< , New Yori< Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter refenred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, LLC, Cranford, NJ. Respondent John J. Ryan, hereinafter refer