Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05030 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site: San Francisco, California Gregory Ernest Braver Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant" or "

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01181 Merrill Lynch, Pierce, Fenner & Smith Incorporated, in its own right and in its capacity as assignee of Advest, Inc. (Claimant) vs. Christopher S. Hamilton (Respondent) REPRESENTATION OF PARTIES: For Claimant: Olga Y. Wayne, Esq., Rubin, Fortunate & Harbison P.C, Paoli, Pennsylvania. Respondent Christopher S. Hamilton did not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATE FIL

AWARD FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Hans-Dieter Neuen vs. Names of Respondents Equity Concepts, Inc. and Smith, Moore & Co. Case Number: 09-06001 Hearing Site: St. Louis, Missouri NATURE OF THE DiSPUTE Non-Member vs. Members REPRESENTATION OF PARTIES Hans-Dieter Neuen ("Claimant") was represented by Ira M. Potter, Esq., Affinity Law Group, LLC, St. Louis, Missouri. Equity C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Warren J. Meyer and Mary Ellen Meyer vs. Case Number: 09-05990 Hearing Site: St. Louis, Missouri Name of Respondent Stifel Nicolaus & Co., Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATIQN OF PARTIES Warren J. Meyer and Mary Ellen Meyer ("Claimants") were represented by Steven W. Koslovsky, Esq., Steve Koslovsky. LLC, St. Louis, Mi

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Marianne lamele vs. Name of Respondent Charles Schwab & Company, Inc. Case Number: 10-00987 Hearing Site: Houston, Texas NATURE OF THE DiSPUTE Customer vs. Member REPRESENTATION OF PARTIES Marianne lamele ("Claimant") was represented by Merritt N. Spencer, Esq., Strasburger & Price, LLP, Austin, Texas. Charies Schwab & Company, Inc. ("Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04244 Jeffrey T. Haugh Jeffrey T. Haugh as joint tenant with Linda Haugh and on behalf of the Jeffrey T. Haugh Sep IRA Nos. 1 and 2 Linda Haugh Linda Haugh as joint tenant with Jeffrey T. Haugh and on behalf of the Linda Haugh IRA AAA Consulting Mid-Atlantic Anesthesia, P.A. Names of the Respondents Hearing Site: Baltimo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-00819 Julia J. Gibbs Franklin A. Trice, III Names of the Respondents Hearing Site: Richmond, VA Commonwealth Shareholder Services, Inc. John Pasco, 111 Commonwealth Capital Management. LLC First Dominion Capital Corp. Nature of the Dispute: Associated Person vs. Member, Non-Member and Associated Person. REPRESENTATION OF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-03006 Bradford Guthrie Mary Guthrie Names of the Respondents Hearing Site: Birmingham, Alabama Merrill Lynch, Pierce, Fenner & Smith, Inc., Rick Lessley, Harold H. Hays, John Hand, 111, and Robert M. Jurkiewicz Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bradford Guthrie an

stipulated Award FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02356 Wells Fargo Advisors Financial Network, LLC f/k/a Wachovia Securities Financial Networic. LLC Name of Respondent Hearina Site: San Francisco, California Daniel Robert Catone Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors Financial Network, LLC f/k/a Wachovia Sec

Award FiNRA Dispute Resoiution In the Mafter of the Arbitration Between: Claimant Case Number: 09-06881 Shizuko Matsumoto Respondents Hearing Site: San Francisco, California Capital Financial Services, Inc. Kenneth Wayne Burkeft Third-Partv Claimants Capital Financial Services, Inc. Kenneth Wayne Buriceft Third-Partv Respondent George Kiyokatsu Sakamoto Nature of Dispute: Customer vs. Member and Associated Person Member and As