STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Clalmant/Ccunter-Respondent Raymond James & Associates, Inc. vs. Case Number 09-05994 Hearing Site: Dallas, Texas Name of ResDondent/Counter-Clalmant Wiilard Henry White NATURE OF THE PI8PUTE Member vs. Associated Person REPRESENTATION QF PARTIES Raymond James & Associates, Inc. ("Claimant") was represented by Kelll Bulllngton. Esq., Raymond Ja

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Name of Claimants Case Number 09-02990 Stephen Metsch Sharon Metsch Name of Respondents Hearing Site: Los Angeles, Cal'ifomia E-Planning Securities, Inc. Ian Filippini Clifford Gamble Scott Hultsman Linda Sechser Nature of Dispute: Customers vs. Memt>er and Associated Persons REPRESENTATION OF PARTIES Claimants, Stephen Metsch and Sharon Metsch, hereinaf

stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimants Case Number 09-06644 G. Arnold Lawton G. Arnold Lawton Tmst U/A dtd 03/11/2004 Name of Respondents Hearino Site: San Francisco, California Wells Fargo Investments, LLC Jack Wong Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants. G. Arnold Lawton ("Lawton") and G. Arnold Lawton Tmst U/A d

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-07255 Jean Caesar-Brown Respondents Hearing Site: Miami, FL Merrill Lynch, Pierce, Fenner & Smith, Inc. Mark E. Johnson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jean Caesar-Brown, hereinafter referred to as "Claimant": Wesley L. Clarke, Esq., Law Offices of Wesley L. Clarke, Washington, D

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00406 Royal Alliance Associates, Inc. (Claimant) vs. Peter J. Bonnell, III (Respondent) REPRESENTATION OF PARTIES: For Claimant: Lauren Lezak, Esq., Royal Alliance Associates, Inc., New Yoric, New Yori^. For Respondent: Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 28. 2011 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract and

Case Number: 10-01332 Hearing Site: St. Louis. Missouri NATURE OF THE OlgPUTS Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC ("Claimant") was represented by Renan I. Sugannan. Esq., Renan Sugarman, PC, Chicago, Illinois. Walter McKinney ("Respondent') was represented by Graham Oswald, Esq., The Oswald Law Firm, LLC, Manchester, Missouri. CASE INFORMATION The Statement of Claim was filed on or about March 9,2010. The

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01650 RBC Capital Markets Corporation Respondent Hearing Site: Raleigh, NC Cecil Creasy Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For RBC Capital Markets Corporation (RBC), hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., Mc Canliss & Early, LLP, New York, NY. For Cecil Creasy (Creasy) herein

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06544 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Respondent Hearing Site: Baltimore, Maryland Daniel Miyamoto 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": Jonathan E. Levine, Esq., Flore & Levine

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02460 Harry M. Leete Respondent Hearing Site: Raleigh, North Carolina G.A. Repple & Company Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Harry M. Leete, hereinafter referred to as "Claimant": Andrew O. Whiteman, Esq., Hartzell & Whiteman, LLP, Raleigh, North Carolina. For G.A. Repple & Company, hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02651 LPL Financial Corporation Respondent Hearing Site: Raleigh, North Carolina Robert S. Shigley Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For LPL Financial Corporation, hereinafter referred to as "Claimant": Jeffrey K. Compton, Esq. and Julia Longjohn, Esq., Markun Zusman & Compton LLP, Pacific Palisade