Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06035 Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site: Jacksonville, Florida Cortes Trevor Bicking Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Daniel

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00452 Thomas Sparks (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Adam J. Gana, Esq., Napoli Bern Ripka, LLP, New York, NY. For Respondent appeared Teresa E. Adams, Esq., Parker, Hudson, Rainer & Dobbs LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 29, 2010 CASE SUMMARY: Claimant asserted the following causes of action: vi

Award FINRA bispute Resolution in the Matter of the Arbitration Between: Claimants Case Number: 10-02699 Wells Fargo Investments, LLC David Michael Logsdon Respondent Hearing Site: Boise. Idaho Janice Corkery Nature of Dispute: Member and Associa^^ REPRESENTATION OF PARTIES Claimants Wells Fargo Investments, LLC ("Wells Fargo") and David Michael Logsdon ("Logsdon"), hereinafter collectively referred to as "Claimants": Sandra D. Grannum,

Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Name of the Claimant Case Number: 09-06224 National Securities Corporation Name of the Respondent Hearina Site: Los Angeles, California Derek Lopez Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, National Securities Corporation, hereinafter referred to as "Claimant": Mark Roth, Esq., Goldbeck Roth Financial Sen/ices, Seattle, Wash

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-02259 Lesmir. Inc., d/b/a Rosen Properties and Rosen- Hari30ttle Commercial Real Estate North Creek Enterprises, LLC Everett Plaza Shopping Center Evergreen Way Association RH Sixth Avenue Plaza Associates Woodinville Warehouse Associates, LLC Mayers MGI Building Holding, LLC Marymoor Warehouse Associates, LLC Rosen Bel Kirk Associates,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 08-03023 Edgar T. Cleric. M.D. Individually, And as Owner of the Edgar T. Claric Charies Schwab & Co. Inc. Oust. SEP-IRA Name of the Respondent Hearina Site: Los Angeles, Califomia Charies Schwab & Co., Inc. Bmce Goldman Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Edgar

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-02874 Matt Lichtenberg David Living Trust Will Ferreii Viveca Paulin Respondent Hearing Site: Los Angeles, California J.P. Morgan Securities LLC. f/k/a J.P. Morgan Securities, Inc., f/k/a Bear, Stearns & Co. Inc. Counter-Claimant J.P. Morgan Securities LLC, f/k/a J.P. Morgan Securities, Inc., f/k/a Bear, Stearns & Co. Inc.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Nameof Claimahf Garland L. Horn vs. Name of Respondent Dayspring Investment Group, Inc. ^ Case Number: 10-00247 Heanng Site: Oklahoma City. Oklahoma NATURF9P-p|icp|c^p^^TP Customer VS. Member REpRESFMTAtiOM OF PAPT^p«^ SS^lSrl^^^iJ'^ ^ was represented by John . Milier. Esq. Swanson Midgley CASE IMFOPMiiiTp^ ISfeellrS-ilS^^^^ ^ 2010 The Submission

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants R. Corey Walters and R. Corey Walters Investments vs. Case Number: 10-01257 Hearing Site: Houston, Texas Name of Respondent Wells Fargo Investmerits, LLC NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES R. Corey Waiters and R. Corey Walters Investments ("Claimants") appeared pro se. Weils Fargo Investments, LLC ("Respondent"

AWARD FINRA Dispute Resolution In the Matter of the ArtDitration Between: Name of Claimant Merrill Lynch : Pierce, Fenner & Sm vs. Name of Respondent Richard Dorman, Jr. Case Number: 09-05727 Hearing Site: Pittsburgh. Pennsylvania Member vs. Associated Person Richard Domian. Jr. ("Respondent") appeared pro se. The statement of Claim was filed on or about October 2 2009 Tho Qnhrr,...- Agreement of Claimant, Merrill Lynch Pierce Fenner r^mi