Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-01844 Kenneth P. Ayers, individually and as Trustee of the Kenneth P. Ayers Revocable Living Trust. U/A 4/15/2005 Name of the Respondent Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. n/k/a Wells Fargo Advisors Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John Hogge vs. Name of Respondent A.G. Edwards & Sons, Inc. Case Number: 09-03912 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES John Hogge ("Claimant") was represented by Mark Cohen, Esq., The Law Office of Mark Cohen, Austin, Texas. A.G. Edwards & Sons, Inc. ("Respondent") was represented by

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Demetrios G. Kamaris and Toni L. Kamaris vs. Case Number: 10-01040 Hearing Site: Chicago, Illinois Name of Respondent Wells Fargo Advisors, LLC NATURE OF THE PiSPUTE Customers vs. Member REPRESENTATION OF PARTIES Demetrios G. Kamaris and Toni L. Kamaris ("Claimants") were represented by Bruce D. Oakes. Esq., Oakes & Fosher, LLC, St. Louis,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Paul M. Seeley and Iris Seeley vs. Case Number: 09-02465 Hearing Site: Chicago, Illinois Name of Respondent Morgan Stanley & Co., Inc. NATURE OF THE PISP»TE Customers vs. Member REPRESENTATION OF PARTIES Paul M. Seeley and Iris Seeley ("Claimants") were represented by Paul D. Malmfeldt, Esq. and Les Blau, Esq., Blau & Malmfeldt, Chicago, Illino

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Nances of Claimants Paulus Kersten and Joann Kersten vs. Case Number: 10-00208 Hearing Site: Detroit, Michigan Names of Respondents Mutual Service Corporation, LPL Financial Corporation, and David J. Smolarek NATURE OF THE PIgPUTg Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Paulus Kersten and Joann Kersten, hereinafter collective

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-01327 Palmer S. Albertine Kathy M. Albertine Jon D. Albright Sam Davis Suzan Davis William D. Irvine Amy R. Irvine Peter Tashie Kendall S. Tashie Names of the Respondents Hearing Site: Memphis, Tennessee Morgan Keegan & Company, Inc. Regions Financial Corporation Nature of the Dispute: Customer vs. Member and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04114 Search Ministries, Inc. Name of the Respondent Hearing Site: Baltimore, Maryland Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Search Ministries, Inc., hereinafter referred to as "Claimant": Gary R. Long, Vice President of Administration, Search Ministries, Inc., Elliot

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-03372 Melisa Ann Stone Jerry C. Stone Names of the Respondents Hearing Site: Little Rock, Arkansas Morgan Stanley Smith Barney James Patrick Kinnally Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Melisa Ann Stone ("M. Stone") and Jerry C. Stone ("J. Stone"), hereinafter collectively

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-07229 UBS Financial Services, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia David Pressly Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services. Inc., hereinafter referred to as "Claimant": Jordan D. Weinreich, Esq., Riker, Danzig, Scherer, Hyland & Perretti L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06055 Gary Hillert Name of the Respondent Hearing Site: Boca Raton, Florida The GMS Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gary Hillert, hereinafter referred to as "Claimant": Adolfo Anzola, Esq., Blum & Silver, LLP, Coral Springs, Florida. For The GMS Group, LLC, hereinafter referred