AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Allan Dale Flowers, Independent Executor of The Estate of Elsie Caldonia Flowers vs. Case Number: 09-07137 Hearing Site: Dallas, Texas Names of Respondents A.G. Edwards & Sons, LLC f/k/a A.G. Edwards & Sons, Inc. and Wachovia Securities, LLC and Name of Third-Partv Claimant A.G. Edwards & Sons, LLC f/k/a A.G. Edwards & Sons, Inc.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kevin J. Afnan vs. Case Number: 09-06154 Hearing Site: Cleveland, Ohio Names of Respondents H&R Block Financial Advisors, Inc. n/k/a Ameriprise Advisor Services, Inc. and Ameriprise Financial Services, Inc. NATURE OF THE DISPUTE Associate Person vs. Members REPRESENTATION OF PARTIES Kevin J. Afnan ("Claimant") was represented by Andrew A. Kab

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03694 Mary Ellen Gabor (Claimant) vs. Emir Culov and HSBC Securities (USA) Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, E. Amherst, NY. For Respondents appeared Meredith L. Friedman, Esq., HSBC Securities (USA) Inc., New York, NY. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: August 14, 2010 CASE SUMMARY: Claimant asserted the following causes of action

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bounty International Limited, Good Regent International Limited, and Wisdom Century Development Limited (Claimants) vs. Goldman Sachs & Co. (Respondent) Case Number: 05-01577 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Bounty International Limited ("Bounty"), Good Regent International Limited ("Good Regent"),

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-07059 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of Respondent Hearing Site: Los Angeles, Califomia Jeffrey Marvin Davis Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant" or "Wa

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-05397 Wells Fargo Advisors, LLC f/k/a Wachovia Securities LLC Respondent Hearing Site: Los Angeles, California Gary Headding Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC f/k/a Wachovia Securities LLC, hereinafter referred to as "Claimant": Michael S. Colombo, CEO, StreetWide Ass

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-06806 John P. Cogan and Jemma J. Cogan JTWROS Name of Respondent IHearinq Site: Seattle, Washington U.S. Bancorp Investments, Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, John P. Cogan and Jemma J. Cogan JTWROS, hereinafter referred to as "Claimant": Lawrence R. Cock, Esq., Cable, Langenbach, Kinerk

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 05-01877 Roger Wheeler and Paul Wheeler under a Power of Attorney for Roger Wheeler Roger Wheeler and Mary Wheeler as Joint Tenants Mary N. Wheeler Name of the Respondents Hearing Site: Los Angeles, California Cardinal Capital Management, Inc. Cardinal Capital.Net, Inc. J.P. Turner & Company, LLC Sterling Financial Invest

Stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number. 09-03810 Banc of America Investment Services, Inc. n/k/a Menrill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondent Hearing Site: Albuquerque, New Mexico Jeffrey Lynn Martin Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Banc of America Investment Services Inc., n/k/a Merrill Lyn

Award FINRA Dispute Resolution In the iVIatter of the Arbitration Between: Name of Clainnant Case Number: 09-02143 Karen E. Rey Name of Respondents Hearing Site: Anchorage, Alaska Wedbush Securities Inc. Thomas A. Packer Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Karen E. Rey, hereinafter referred to as "Claimant": William M. Bankston, Esq., Bankston Gronning O'Hara P.C., Anchorage, Al