Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 10-02818 Lloyd Wiborg and Jane S. Wiborg, Individually and as Trustees of the Jane S. Wiborg Trust dtd 7/28/86 Amendment and Complete Restatement dtd 4/17/96 Name of Respondent Hearing Site: San Francisco, California Pacific West Securities, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Lloyd Wibor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01568 Stephen Kelleher Respondents Hearing Site: San Francisco, California Wedbush Securities Inc. f/k/a Wedbush Morgan Securities Inc. Edward W. Wedbush Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Stephen Kelleher, hereinafter referred to as "Claimant" or "Kelleher": David H.S. Com

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-00497 Joel F. Kaufman Nancy B. Kaufman Respondents Hearing Site: Baltimore, MD Morgan Stanley Smith Barney LLC Tom Howes Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Joel F. Kaufman and Nancy B. Kaufman, hereinafter referred to as "Claimants," appeared pro se. For Morgan Stanley Smith Barney

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-00477 Michael Armstrong and Michael Armstrong, IRA Respondents Hearina Site: Los Angeles, California Madison Avenue Securities, Inc. David L. Carlson Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Michael Armstrong and Michael Armstrong, IRA, hereinafter referred to collectively as "Claimant"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-03711 Financial West Group Name of Respondent/Counter-Claimant Hearing Site: Los Angeles, Califomia Shall Vithaldas Mehta Name of Third Partv Claimant Shail Vithaldas Mehta Name of Third Partv Respondent American Funds Nature of Dispute: Member vs. Associated Person Associated Person vs. Member Associated Person

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Clyde Alfonso Mason (Claimant) vs. Doley Securities, LLC (Respondent) Case Number. 10-05352 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Clyde Alfonso Mason, hereinafter referred to as "Claimant" appeared pro se. Respondent Doley Securities, LLC. hereinafter referred to as "Respondent": Harold E.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Susan Ginsburg and/or David M. Ginsburg Test Trust (Susan Ginsburg, Trustee) (Claimants) v. Sanford C. Bernstein & Co., LLC, AiiianceBernstein Investments, Inc., Laurence H. Bertan, and Paul J. Cobuzzi (Respondents) Case Number: 10-02664 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Susan

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00101 NEXT Financial Group, Inc. (Claimant) vs. David Naefl< e (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Owen P. McGili, Esq., Shumaker, Loop & Kendrick, LLP, Tampa, FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 7, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gary Goldberg & Company, Inc., and Gary Goldberg Planning Services, Inc. (Claimants) v. Sidney Abramowitz, Leah Lebovits, and Ameriprise Financial Services, Inc. (Respondents) Case Number: 09-01975 Hearing Site: New York, New York Nature of the Dispute: Member and Non-Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Gary Goldberg & Co., Inc. ("Goldber

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) vs. Elliot W. Wislar (Respondent) Case Number: 10-01344 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc., hereinafter referred to as "Claimant": Joshua S. Bratspies, Esq., Riker, Danzig, Scherer, Hyland & Perretti, LLP, Morristown, NJ. Respo