AWARD FINRA DISPUTE RESOLUTION CASE: 10-03448 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC vs. Orin Port SITUS: Boca Raton, Florida REPRESENTATION OF PARTIES: For Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant" or "Wells Fargo": Gregory S. Tendrich, Esq., Gregory Tendrich, P.A., Boca Raton, Florida. Orin Port, hereinafter referred to as "Respondent," did not appear. NATURE OF DISPUTE: Member

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02930 Wells Fargo Advisors, LLC, formeriy known as Wachovia Securities, LLC (Claimant) vs. Deward T. Lawrence (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Hazlet, NJ. Respondent appeared pro se, Cathedral City, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 23, 2010 CASE SUMMARY: Claimant asserted the following

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02887 Fidelity Brokerage Services, LLC (Claimant) vs. Michael Picarella REPRESENTATION OF PARTIES: For Claimant appeared Melissa Hegger Shea, Esq., FMR LLC, Boston, MA. NATURE OF DISPUTE: Member v. Customer Respondent appeared pro se, Melville, NY. DATE FILED: June 18, 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to remit balance owed on account. The cause of action relates to

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01949 Patricia Spencer (Claimant) vs. UBS Financial Services Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. New York, NY. For Respondent appeared Logan S. Fisher, Esq., Bressler, Amery & Ross, Florham Park, NJ. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 27, 2010 CASE SUMMARY: Claimant asserted the following causes of action: holding account captive without justification

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Advisors, LLC, formerly known as Wachovia Securities, LLC (Claimant) vs. Henry E. Frenzel, 111 (Respondent) Case Number: 09-06470 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC, formerly known as Wachovia Securities, LLC, hereinafter referred to as "Claimant": Andrew P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Abdallah G. Bseirani (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 09-06107 Hearing Site: Syracuse, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Abdallah G. Bseirani, hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., Malecki Law, New York, NY. Respondent Merrill Lynch, Pierce, Fen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mitchell Schley (Claimant) vs. Barbara Bishop and Bear Stearns & Co. Inc., a subsidiary of JP Morgan Securities, Inc. (Respondents) Case Number: 09-03007 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Mitchell Schley, hereinafter referred to as "Claimant" appeared pro se. Respondents

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William E. Aaron and Michael R. Stein (Claimants) vs. Neuberger Berman, LLC (Respondent) Case Number: 09-02268 Hearing Site: New York, New York Nature of the Dispute: Associated Persons v. Member. REPRESENTATION OF PARTIES Claimants William E. Aaron ("Aaron") and Michael R. Stein ("Stein"), hereinafter collectively referred to as "Claimants": Stuart L. Shapiro, Esq., and Michael

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-00012 Josephine Wayman Name of Respondents Hearing Site: Los Angeles, California Securities America, Inc. Randall Ray Talbott Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Josephine Wayman, hereinafter refen-ed to as "Ciaimanf: Alton G. Burichaiter, Esq., and Joshua A. Waldman, Esq.. B

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Credit Suisse Securities (USA) LLC Respondent Enable Capital Management, LLC Third-Partv Claimants Enable Capital Management, LLC Enable Growth Partners, LP Third-Partv Respondent Jefferies & Company, Inc. Third-Partv Counter-Claimant Jefferies & Company, Inc. Third-Partv Counter-Respondents Enable Capital Management, LLC Enable Growth Partners,