AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The Estate of Lawanda Padgett, Duane Padgett, Personal Representative vs. Case Number: 09-02593 Hearing Site: Oklahoma City, OI< lahoma Name of Respondent Capital West Securities, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES The Estate of Lawanda Padgett, Duane Padgett, Personal Representative ("Claimant") was repre

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Louis Bortolussi, Nina Bortolussi, and Luanne Schafer vs. Case Number: 09-04037 Hearing Site: Detroit, Michigan Names of Respondents Ameriprise Financial Services, Inc. and William L. Bynum NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Louis Bortolussi ("Louis"), Nina Bortolussi ("Nina"), and Lua

AWARD FINRA Dispute Resolution In the Matter Of the Arbitration Between: Name of Claimant/Counter-Respondent Wells Fargo Advisors, LLC f/kJa Wachovia Securities, LLC vs. Case Number: 09-06020 Hearing Site: Houston, Texas Name of Respondent/Counter-Claimant William Edward Livingston Coster NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC ("Claimant") w

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Allyn Husman and JoAnn Husman vs. Names of Respondents Okoboji Financial Services, Inc., Ralph Roberts Schneider, Donahue Edwin Jones, Ronald Allen Kerher, and Dakota Capital Management, LLC Case Number: 09-06559 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customers vs. Member, Associated Persons, and Non-Member REPRESENT

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Keegan & Company, Inc. vs. Case Number: 10-00727 Hearing Site: IHouston, Texas Name of Respondent John IHenry Steams NATURE OF THE DISPUTE Member vs. Associated Person RePRESEHTATlQN PF PARTIES Morgan Keegan & Company, Inc. ("Claimant" or "Morgan Keegan") was represented by Shea O'Brien Hicks, Esq., Morgan Keegan & Company, Inc.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Abbott Hess, Individually and as Trustee and Beneficiary of the Peter A. Hess Irrevocable Investment Trust for the Benefit of Mary A. Hess vs. Case Number: 10-00962 Hearing Site: Chicago, Illinois Name of Respondent Kathryn G. Kennedy NATURE OF THE DISPUTE Customer vs. Associated Person REPRESENTATION OF PARTIES Mary Abbott Hess,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Ciaimant/Counter-Respondent Morgan Stanley Smith Barney. LLC vs. Case Number 10-01036 l-iearing Site: Chicago, Illinois Name of Respondent/Counter-Ciaimant Michael Palmer NATURE OF THE PI8PUTE Member vs. Associated Person REPRESENTATIgN OF PARTIES Morgan Stanley Smith Bamey, LLC ("Claimanf) was represented by Renan Sugamnan, Esq., Renan Sugamnan, P.C., Ch

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Emmett E. Carter, Jr. individually, and on behalf of the Emmet E. Carter, Jr. Individual Retirement Account Names of the Respondents James R. Holdman Leslie M. Hausse Scott D. Johnson NWT Financial Group, LLC Penson Financial Services, Inc. Case Number: 09-04093 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Memb

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05050 UBS Financial Services, Inc. (Claimant) vs. Robert C. Isom (Respondent) REPRESENTATION OF PARTIES: For Claimant UBS Financial Services, Inc.: Edward C. Nowak, Esq. and Steven P. Pherson, Esq., Schuyler, Roche & Crisham, P.C., Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: November 5, 2010. CASE SUMMARY: Claimant asserted the cause of action of bre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02524 Leonard J. Massello Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES For Leonard J. Massello, hereinafter referred to as "Claimant": Kevin T. Hoffman, Esq.