AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Homer Martin vs. Case Number. 09-06311 Hearing Site: Houston, Texas Name of Respondent Riverstone Wealth Management, Inc. NATURE OF THE PISPUTe Customer vs. Member REPRESENTATION OF PARTIES Homer Martin ("Claimant" or "Martin") was represented by Royal Lea, III, Esq.. Bingham & Lea, PC, San Antonio, Texas. Riverstone Wealth Management, Inc. (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-00080 UBS Financial Services Inc. Respondent Hearing Site: Denver, Colorado James F. Dowley Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Services Inc., hereinafter referred to as "Claimant": Michael T. Roche, Esq., Schuyler, Roche & Crisham, P.C., Chicago, Illinois. Respondent, James F. Dowl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-06220 Bolen Family Trust Eari D. Bolen IRA Respondents Hearina Site: Los Angeles, California Morgan Stanley Smith Barney Christopher Richard Price Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Bolen Family Trust and Eari D. Bolen IRA, hereinafter collectively referred to as "Claimants"

Case Number: 09-04525 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Kilbane Plumbing and Heating, Inc. ("Ciaimanf or "Kilbane") was represented by Roger W. Van Deusen, Esq., Van Deusen & Wagner, LLC, Cleveland, Ohio. Ferris Baker Watts, LLC ("Respondent" or Terris Baker") was represented by Daniel J. Donovan, Esq., Donovan & Rainie, LLC, Baltimore, Maryland. CASE INFOft^^jl^TiON The Statement of Cla

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants George Allibone. June Allibone, and Allibone Family Limited Partnership vs. Case Number: 09-04204 Hearing Site: Houston, Texas Names of Respondents Wells Fargo Advisors, LLC, Wachovia Securities, LLC, A.G. Edwards & Sons, LLC, and Joseph C. Klages and Nolan S. Caldwell NATURE OF THE DISPUTE Customers vs. Members and Associated Persons R

Stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03802 Ameriprise Advisor Services, inc. Name of the Respondent Hearina Site: Boulder, Colorado Rockwell Stuart Pearson Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Ameriprise Advisor Services, Inc. ("AASi"), hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fisc

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 09-06925 Joe R. Woods Respondents Hearing Site: San Diego, California Brady Foley Ann K. Bond Counter-Claimants Brady Foley Ann K. Bond Counter-Respondent Joe R. Woods Nature of Dispute: Associated Person v. Associated Persons Associated Persons v. Associated Person REPRESENTATION OF PARTIES Ciaimant/Counter-Respondent, Joe

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimants Case Number: 09-05435 Charles R. McAdam and Arlene J. McAdam Name of the Respondents Hearino Site: Denver, Colorado Wachovia Securities, LLC John Lowell Waite Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Charles R. McAdam and Arlene J. McAdam, hereinafter referred to collectively as "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-02239 Aldrich J. Fernandez Name of Respondent Hearing Site: San Diego, Califomia Wachovia Securities, LLC Nature of Dispute: Customer vs. Member Public Arisitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Aldrich J. Fernandez, hereinafter refered to as "Claimant": Bruce D. Oakes, Esq., Oakes & Fosher, LLC, St. Louis, M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00800 Lewis Young Name of the Respondents Hearing Site: Phoenix, Arizona SunAmerica Securities, Inc. n/k/a AIG Financial Advisors The Householder Group Nature of the Dispute: Customer vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant Lewis Young, hereinafter referred to as "Claimant": Pro se, Maricopa, Arizona. Resp