Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 10-00773 Wells Fargo Investments, LLC Respondent/Counter-Claimant Hearing Site: San Francisco, California Kenneth C. Shaffer Nature of the Disputes: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wells Fargo investments, LLC, hereinafter referred to as "Clai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. (Claimant) vs. Michael D. Chmielewski (Respondent) Case Number: 09-06381 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets Inc., hereinafter referred to as "Claimant": Cari A. Lewis, Esq., Alonso, Andalkar & Kahn, P.C, New York, NY. Respondent Mic

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02015 Wells Fargo Advisors, LLC (Claimant) vs. Peter Seibert (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared Steven Rosenberg, Esq., Hingham, MA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 27. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agre

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02986 Mary P. Cascio (Claimant) vs. National Planning Corporation and Eric Bond (Respondents) REPRESENTATION OF PARTIES: ~ Claimant appeared pro se, Lakewood, CA. For Respondents appeared Chad Weaver, Esq., Edgerton and Weaver, LLP, Hermosa Beach, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 25, 2010 CASE SUMMARY: Claimant asserted the following causes of action:

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03010 Wells Fargo Advisors, LLC (Claimant) vs. Michael Gant (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, 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: June 28, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of ClaiRetentiom Datn a Awa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Valenti and Christine Valenti (Claimants) vs. Patrick Alfano and TAG Securities Corp. (Respondents) vs. Thomas Garriton, Sr. (Third-Party Respondent) Case Number: 09-00348 Hearing Site: New Yorl< , New York consolidated with Thomas A. Garriton, Sr. (Claimant) vs. Patrick Alfano and TAG Securities (Respondents) Case Number: 09-01313 Hearing Site: New York, New York

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimants Case Number: 10-01800 Jimmy D. Hair Karen E. Hair Oceans 30, Inc. Name of Respondents Hearing Site: Phoenix, Arizona SunAmerica Securities, Inc. alkla Sagepoint Financial, inc. Keith P. DeGreen Jared B. Roskelley Name of Cross-Claimant SunAmerica Securities, Inc. a/k/a Sagepoint Financial, Inc. Name of Cross-Respondents Keith P. DeGreen

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimants Case Number: 09-04866 Patrick J. Rohan Trust U/A dated 9/19/1991. Patrick J. Rohan and Diane E. Rohan Trust U/A dated 5/3/1999, Patrick J. Rohan Pension Plan U/A dated 03/1/1997, Patrick J. Rohan, Inc., and Diane E. Rohan Profit Sharing Plan U/A dated 12/15/1999 Name of Respondents Hearinq Site: San Diego, California Charies Schwab & Co.

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimants Case Number. 09-04369 Eric T. Besag Eric T. Besag Living Tmst U/A dated 03/28/07 Name of the Respondent Hearing Site: San Francisco, California Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Eric T. Besag and Eric T. Besag Living Trust U/A dated 03/28/07, hereinafte

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05393 Paul Chaplin and Karen Chaplin Wayne Chaplin and Ariene Chaplin Name of the Respondent Hearing Site: Miami, Florida Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Paul Chaplin and Karen Chaplin, Wayne Chaplin and Ariene Chaplin, hereinafter collectively referred to