Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00943 Juan Carios Carvajal Name of the Respondent Hearing Site: Miami, Florida Banc of America Investment Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Juan Carios Carvajal, hereinafter referred to as "Claimant": V. Michael Arias, Esq., V. Michael Arias P.A., Coral Gables, Florida.

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 11 -00224 Wells Fargo Advisors Financial Network, LLC, f/k/a Wachovia Securities Financial Network, LLC Name of Respondent Hearing Site: Los Angeles, California Marc Frankel Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors Financial Network, LLC, f/k/a Wachovia Securities Fi

Award FINRA Dispute Resolution in the Matter of the Arbitration Behveen: Name of Claimant Case Number: 11-00131 Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondent Hearing Site: San Francisco, Caiifomia Michael V. Moutrey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith incorporated, hereinafter referred to as "Claimant": Larry J. Lipka, Esq.. K

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-00514 Raymond James & Associates, inc. Respondent Hearing Site: San Francisco, California Robert Niel Garff Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Raymond James & Associates, inc., hereinafter referred to as "Claimant" or "Raymond James": Garrett R. Wynne, Esq., Keesai, Young & Logan, San Francisco

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 10-02381 Morgan Stanley Smith Barney Name of Respondent Hearing Site: Los Angeles, California Charies Bradley Daniel Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Barney, hereinafter referred to as "Claimant": Timothy N. Will, Esq., Albert & Will, LLP. Tonrance, California.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-03433 Ken Rubin Name of Respondents Hearing Site: San Francisco, California Joan Perry Take Charge Financial! Nature of the Dispute: Non-Member vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Ken Rubin, hereinafter referred to as "Claimant": Ken Rubin, pro se, Half Moon Bay, California. Respondents, Joan Peny

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05005 Wells Fargo Advisors, LLC (Claimant) vs. Richard L. Coale (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Thomas B. Lewis, Esq., Stark & Stark, Lawrenceville, NJ. Respondent did not enter an appearance in the matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: November 4, 2010. CASE SUMMARY: Claimant asserted the following causes of action: breach of promissory note and breac

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-04721 Guy Abbanat Respondent Hearing Site: Boca Raton, Florida UBS Financial Sen/Ices, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Guy Abbanat, hereinafter referred to as "Claimant": James R. Hubbard, Esq. and Jennifer Rodriguez, Esq., Liddle & Robinson, L.L.P., New York, New York. For UBS Financial

stipulated Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimant Case Number: 10-01398 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Respondent Hearing Site: Washington, D.C. Christopher M. Cunningham Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Daniel S. Fiore, Esq. and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01972 Deborah Traficante Respondents Hearina Site: Washington. D.C. UBS Financial Services Inc. James Leslie Lacey, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Deborah Traficante, hereinafter referred to as "Claimant": Walter Birkel, Esq., Law Offices of Walter G. Birkel, Washington, D.C