AWARD FINRA DISPUTE RESOLUTION CASE: 10-04283 Wells Fargo Advisors, LLC (Claimant) vs. Tony Barbisan (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Beaverton, OR. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 22, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreement. Claim Dat

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04948 Wells Fargo Advisors, LLC (Claimant) vs. Stephen L. Baxter (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 2, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreement.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael J. Duddy and Nuala C. Duddy, Individually and as Joint Tenants of the Michael and Nuala Joint Account (Claimants) vs. Wells Fargo Advisors, LLC (Respondent) Case Number: 09-07145 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Michael J. Duddy and Nuala C. Duddy, Individually and as Joint Tenants of

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of the Claimant Case Number: 10-00622 John H. McMlckle, Jr. Names of the Respondents Hearing Site: Boca Raton, Florida George P. Moler Merrill Lynch Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES John H. McMlckle, hereinafter referred to as "Claimant," appeared pro se. For Merrill Lynch ("Merrill") and George P. Mole

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number. 09-06647 Rosemary M. Gilbert The Rosemary M. Gilt}ert IRA The Edward S. Gilbert Jr. and Rosemary M. Gilbert Revocable Tmst DTD 12/20/2000 Edward S. Gilbert The Edward S. Gilbert Jr. IRA Laurie Knapp The Laurie Knapp IRA Robin G. Thomas The Robin Gayle Wood Revocable Tmst by Robin Gayle Wood flk/a Robin G. Thomas DTD 9/13/200

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-02121 Carolyn Turner Respondents Hearing Site: Los Angeles, California Robert H. Osur Centaurus Financial, Inc. Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Carolyn Turner, hereinafter referred to as "Claimant": Jules Leo Federman, Securities Arbitration Representation, Santa Barbara, Califo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard W. Tumbull (Claimant) vs. CIBC Worid Martlets Corp. (Respondent) Case Number: 10-01016 Hearing Site: New Yorl^, New Yorl^ Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Richard W. Tumbull, hereinafter referred to as "Claimant": Laurence S. Moy, Esq., Outten & Golden, LLP. New York, NY. Respondent CIBC Worid Markets Corp., hereinaf

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: CCO Investment Services Corp. (Claimant) vs. Jaime Baumler (Respondent) Case Number: 10-00327 Hearina Site: Buffalo, New Yoric Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant CCO Investment Services Corp., hereinafter referred to as "Claimant": David M. Belcher, Esq. and Christine Fitzgerald, Esq., Belcher, Stan* & Fitzgerald LLP, Boston,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number. 10-00083 David N. Harvey and Sharon L. Harvey, Individually and as Trustees for the Harvey Family Trust Dated 08/30/06 Name of Respondents Hearing Site: San Francisco, Caiifomia Wells Fargo investments, LLC Wells Fargo Bank, NA Matthew Medeiros Nature of Dispute: Customers vs. Member, Associated Person and Non-Member REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jerome S. Schwartz vs. Case Number: 10-02562 Hearing Site: Houston, Texas Names of Respondents NelsonReid, Inc., David Hayden, Jaime Xavier Coronado, and Chase Investment Services Corp. (as successor to WM Financial Services, Inc.) NATURE OF THE DISPUTE Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Jerome S. Schwar