Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kayvan Karoon (Claimant) vs. Shawn Arlauckas and Newbridge Securities (Respondents) vs. Financial Network Investment Corporation (Third-Party Respondent) Case Number: 07-01334 Hearing Site: Newark, New Jersey Nature of the Dispute: Initial Claim: Associated Person vs. Associated Person and Member Third-Party Claim: Associated Person vs. Member REPRESENTATION OF PARTIES C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George Saltzman (Claimant) vs. Morgan Stanley Smith Barney and Jeffrey Smith (Respondents) Case Number: 09-05489 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant George Saltzman, hereinafter referred to as "Claimant": David F. McComb, Esq., Zan^/in Baum DeVito Kaplan Schaer & To

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eva Crudo and Bridget Crudo (Claimants) vs. Robyn Reagan-O'Hara, Paula Branum, Penson Worldwide, Inc., Penson Financial Services, Inc., SAMCO Financial Services, Inc., SAMCO Capital Markets, Inc., Regal Securities, Inc., Colby & White, LP, WFG Investments, Inc., Willard Henry White, Jr., and James Milton Townsend (Respondents) Case Number: 09-03902 Hearing Site: Newark, New Jersey N

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04125 UBS Financial Services Inc. (Claimant) vs. Shawn Sullivan (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael W. Starr, Esq., Riker Danzig Scherer Hyland & Perretti, Morristown, NJ. For Respondent appeared Steven N. Fuller, Esq., Allen-Fuller, P.A., Manchester, NH. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: September 14, 2010. CASE SUMMARY: Claimant asserted the followin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ahmass Labib Fal< ahany (Claimant) vs. Merrill Lynch & Co., Inc., Merrill Lynch Pierce Fenner & Smith, Inc., John A. Thain, Amnando M. Codina, John D. Finnegan, Joseph W. Prueher, Ann N. Reese, Bank of America Corporation, MER Merger Co., and Banc of America Securities, LLC (Respondents) Case Number: 08-04953 Hearino Site: New York, New York Nature of the Dispute: Associated Person

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04222 Wells Fargo Advisors, LLC (Claimant) vs. Robert Mullen (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Grande Junction, CO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 20, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Claipromissory m Data note.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Musachio (Claimant) vs. Ameriprise Financial Services, Inc., Geri Pell, and Paul D. Santucci (Respondents) Case Number: 09-06863 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Michael Musachio, hereinafter referred to as "Claimant": Tab K. Rosenfeld, Esq., Rosenfeld & Kaplan, L.L.P.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00571 Timothy M. Moses Names of the Respondents Hearing Site: Richmond, VA Wells Fargo Advisors, Inc. Virginia C. Bowie Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Timothy M. Moses, hereinafter referred to as "Claimant": Robert L. Isaacs, Esq., Robert L Isaacs, P.C., Richmond, VA

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-02494 Helen Cohen Living Trust A, Claudia Powell, Trustee Ad Litem Helen Cohen Living Trust B, Claudia Powell, Trustee Ad Litem Name of Respondents Hearing Site: San Diego, California SECU Brolcerage Services, Inc., a.k.a. XCU Capital Corp., Inc. James Benito Trujillo Name of Third-Partv Claimant SECU Brokerage Sen/ices, Inc.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-00769 Armande Desjariais Respondents Hearina Site: San Diego, California Legacy Financial Services, Inc. Randy B. Weaver R. Lance Will James A. Sheridan Cross-Claimant Legacy Financial Services, Inc. Cross-Respondents Randy B. Weaver R. Lance Will James A. Sheridan Nature of Dispute: Customer vs. Member and Associated Pers