AWARD FiNRA DISPUTE RESOLUTION CASE: 10-02947 Wells Fargo Advisors, LLC, formerly Wachovia Securities, LLC (Claimant) vs. Mark D. Hatton (Respondent) REPRESENTATION OF PARTIES: For Claimant: Kenneth O'Connor, Esq., Lubiner & Schmidt, L.L.C. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 24, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promisso

AWARD FiNRA Dispute Resolution in the Matter of the Arijitration Between: Name of Claimant Wells Fargo Investments, LLC vs. Name of Respondent Dennis R. Creasbaum Case Number: 09-04482 Hearing Site: Chicago, Illinois NATURgnF-fff^pic^p^fTFj Member vs. Associated Person REPRESgMTi|TinK| op p^pTirn Dennis R. Creasbaum O'Respondenf*) appeared pro se. CASE IMF^Piyii^yi^^ The Statementof Claim was filed on or about Jiiiv 97 onno TU^O u

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01990 James E. Rice and Trudy C. Rice (Claimants) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Pawleys Island, SC. For Respondent appeared Meredith Felde, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: April 26, 2010 CASE SUMMARY: Claimants alleged a monetary loss as a result of Respondent's failure to set the

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Raymond T. Rosati and Patricia M. Rosati (Claimants) v. HSBC Securities (USA), Inc. and Michael Bowen (Respondents) Case Number: 09-05445 Hearing Site: Buffalo. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Raymond T. Rosati ("T. Rosati") and Patricia M. Rosati ("M. Rosati"), hereinafter collectively referred to a

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-07175 Sagepoint Financial, Inc. Names of the Respondents Hearing Site: New York, New York Vincent J. Camarda and Kathleen Camarda Nature of the Dispute: Member vs. Associated Person and an Individual. REPRESENTATION OF THE PARTIES For Sagepoint Financial, Inc., hereinafter referred to as "Claimant": Howard Elisofon, Esq

Award FINRA Dispute Resolution In the Matter of tho Arbitration Between: Marc Curtis (Claimant) v. Commonwealth Financial Network and Thomas John Bartholomew (Respondents) Case Number: 09-04893 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTIES Claimant Marc D. Curtis, hereinafter referred to as "Claimant": Arthur S. Leider, Investors Arbitration Specialists, San Diego. CA.

Award FINRA Dispute Resolution In the Matter of the Arbitration Betoween: Claimant Case Numt)er 09^548 Morgan Stanley & Co., Incorporated Respondent Hearing Site: Seattle, V\foshingtDn Chen L. Johnson Nature of the Dispute: Member v. Associated Person REPRESEWTATIOM OF PARTIES Claimant. Morgan Stanley & Co., Incorporated, hereinafter referred to as t^laimant": Donald Ray, 1^., Kane & Fischer, Ltd.. Chicago, Illinois. Respondent Cheri L. J

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02807 Morgan Stanley Smith Barney LLC (Claimant) vs. Troy Lambert (Respondent) REPRESENTATION OF PARTIES: For Claimant: Samuel P. Mauch, Esq., Saretsky Hart Michaels & Gould PC, Birmingham, MI. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATEFILED: June 15, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01719 Eric H. Schiff (Claimant) vs. Scottrade, Inc., Rodger Odell Riney, Anthony Michael Viviano, II, Randle Dean Copeland, and Anthony R. Sarracino (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se. Merlon, PA. For Respondents appeared Niels P. Murphy, Esq., Murphy & Anderson, P.A., Jacksonville, FL. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE FILED: April 13, 2010 CAS

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01287 Wesley J. Olson (Claimant) vs. Scottrade, Inc., and Joe Lee (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey S. Salisbury, Esq., Law Office of Jeffrey S. Salisbury, Eugene, OR. For Respondents appeared Alexander T. Moore, Esq., Scottrade, Inc., and Niels P. Murphy, Esq., Murphy & Anderson, P.A., Jacksonville, FL. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED