AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Thomas J. Hillman Family Trust vs. Nannes of Respondents UBS Financial Services, Inc. and Bemard King Case Number: 09-02365 Hearing Site: St Louis, Missouri NATURE OF THE PISPUTg Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Thomas J. Hillman Fanilly Trust ("Clairtiant'' or "Family Trust") was represented by Mari< E. Goo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01084 Susan Trump, individually, and as Trustee of the SC Trump 2004 Trust. The Charles and Virginia Konjoyan Trust, The Hudson Bay Seafood Age Weighted Profit Sharing Plan, The Susan C. Trump IRA, and The Susan C. Trump Roth IRA Name of the Respondents Hearing Site: San Diego, California Molly Jo Miller Jeffrey Scott McCoy

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04360 Wells Fargo Advisors Financial Networi< , LLC (Claimant) vs. Joseph A. Jackson (Respondent) REPRESENTATION OF PARTIES: For Claimant: Stephen D. Burns, Esq., Fiore & Levine, PLLC, Ariington, Virginia. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 27, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note dated M

Case Number: 09-00846 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES William Morehead, Jr. and Ratree Luesiri ("Claimants") were represented by Richard Sacks and Tanya Sacks, Investors Recovery Services, Novate, California. Wachovia Securities, LLC ("Wachovia"), Donald William Elster ("Elster"), Marco Brian Lloyd ("Lloyd"), and John David Caram ("Caram"), hereinafter collectively refer

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant First Southwest Company vs. Case Number: 09-06640 Hearing Site: Dallas, Texas Name of Respondent Wells Fargo Advisors, LLC NATVRg OF THE PI^PUTE Member vs. Member REPRESENTATION OF PARTIES First Southwest Company ("Claimant" or "FSC") was represented by Christopher R. Richie, Esq., Sessions, Fishman, Nathan & Israel, LLP, Dallas, Texas. Wells

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Linda Hanis, Executor of the Estate of Lessie M. Delk. Deceased vs. Case Number: 07-01147 Hearing Site: St. Louis, Missouri Names of Respondents A.G. Edwards & Sons, Inc. and Kelly S. Waller Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Linda Harris, Executor of the Estate of Lessie M. Delk, Deceased ("Claimant") was rep

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael J. Maher vs. Names of Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc., John R. Bentley, Bank of America Corporation, and Merrill Lynch & Co., Inc. Case Number: 09-03074 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customer vs. Member, Associated Person, and Non-Members REPRESENTATION OF PARTIES Michael J. Maher ("Clai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: DSX, Inc., D-Trade, L.P., D-Trade, Inc., Solaris Alternative Capital Partners, L.P., Solaris Alternative Capital Fund, L.P., Solaris Alternative Capital Fund II, L.P., Solaris Liquidation, L.L.C., Solaris Asset Management Group, L.L.C., Solaris Capital Market, L.L.C., and Pasquale R. DiDonato (Claimants) vs. The Estate of Ralph P. DiDonato, Margaret DiDonato, Administratrix (Respondent)

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Financial Network Investment Corporation (Claimant) v. Thomas Pfeiffer (Respondent) Case Number: 10-03072 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Financial Network Investment Corporation, hereinafter referred to as "Claimant": Matthew Tracy, Esq., Winget, Spadafora & Schwartzberg, LLP, New York, NY.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03327 Gina Marie DiPietro (Claimant) vs. PNC Investments (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Morganville, NJ. For Respondent appeared Brian A. Cariis, Esq., Stark & Starl^, P.C., Lawrenceville, NJ. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: July 21, 2010 CASE SUMMARY: Claimant asserted the following causes of action: defamation and expungement of Forms U4 and U5.