stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05497 Ameriprise Financial Services, Inc. Respondent Hearing Site: Washington. D.C. David Bekenstein Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Edward B. Magarian Esq. and Jana E. Bruder Esq.. Dorsey & Whitney LLP, Minnea

Award FiNRA Dispute Resolution In the Matter of the Aribitration Between: Name of Claimants Case Number 09-05377 Roderick Hunt Chariotte Hunt Name of Respondents Hearing Site: Portland, Oregon New Castle Financial Services LLC Anthony F. Lodati Richard H. Crockett Jeffrey L. Offen Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants. Roderick Hunt and Chariotte Hunt, hereinafter co

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number 09-04660 John and Roneale (Sue) Ports Name of Respondents Hearing Site: Los Angeles, Caiifomia Scott T. Brandt Westtbridge Financial and Insurance Services, Inc. Lighthouse Capital Corporation Richard L. Clarke Joe L. Brandenburg Brandenburg & Clarke Packeriand Brokerage Services, Inc. Nature of Dispute: Customers vs. Members

Award FINRA Dispute Resolution In the Matter of the Art}itration Behveen: Name of Claimant Case Number: 09-00017 Gerard Baiian Name of Respondent Hearing Site: Los Angeles, California TD Ameritrade, inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Gerard Baiian, hereinafter referred to as "Claimant": Gerard Baiian, pro se, Channes sur L'Herbasse, France. Respondent, TD Ameritrade, Inc., hereinafter refene

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimants Case Number 10-01145 Jason Solomon and Janet Solomon, Trustees of tiie Jason H. Solomon and Janet Solomon Tmst Dated 1/31/2007 Name of Respondent Hearing Site: San Francisco, California Oppenheimer& Co., Inc. Nature of Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Jason Solomon and Janet Solomon, Tmstees of tiie Jason H. Solomon

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-03782 James J. Pine Names of the Respondents Hearing Site: Memphis, Tennessee Wells Fargo Investments, LLC Wells Fargo Advisors, LLC Wells Fargo Securities, LLC Samuel Joseph Jew Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James J. Pine, hereinafter referred to as "Claimant"

Stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Case Number: 09-01369 James H. Jordan. Jr. Name of Respondents Hearing Site: Seattle, Washington RBC Dain Rauscher, inc. Nations Financial Group, inc. Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant James H. Jordan, Jr.. hereinafter referred to as "Claimant": James H. Jonjian, Jr., Esq.. Miller Nash, LLP. Sea

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05461 Wells Fargo Advisors, LLC ("Claimant") vs. John Meacham ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Nicole E. Stadelmaier, Esq., Fiore & Levine, PLLC, Ariington, Virginia. Respondent did not appear in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: December 3, 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. RELIEF REQUESTED:

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02266 Wells Fargo Advisors LLC (Claimant) vs. David P. Wilson (Respondent) REPRESENTATION OF PARTIES: For Claimant: Renan I. Sugarman, Esq., Law Offices of Renan I. Sugarman, PC, Chicago, IL. Respondent did not appear in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: May 11, 2010. CASE SUMMARY: Claimant asserted the cause of action of failure to repay indebtedness. The cause of act

Award FINRA Dispute Resolution In the Matter of tiie Arbiti'ation Between: Name of Claimant/Counter-Resoondent Case Number 10-02304 UBS Financial Services, Inc. Name of Respondent/Counter-Claimant Hearing Site: Phoenix, Arizona Robert S. Swagger Nature of tiie Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent. UBS Financial Services, Inc., hereinafter referred to as "Claimant" or "UBS": Devin A. Donoh