stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: New England Life Insurance Company and New England Securities (Claimants) vs. James Archibald (Respondent) Case Number: 09-04310 Hearing Site: Manchester, New Hampshire Nature of Dispute: Non-Member and Member v. Associated Person REPRESENTATION OF PARTIES New England Life Insurance Company and New England Securities, hereinafter collectively referred to as "Claimants

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Helen and Eugene Grant (Claimants) vs. Dillon Scott Securities, Inc. and Greg Scott Schaefer (Respondents) Case Number: 10-03099 SITUS: New York, New York NATURE OF DISPUTE: Customer vs. Terminated Member and Associated Person REPRESENTATION OF PARTIES: Helen and Eugene Grant hereinafter referred to as "Claimants": Brian J. Neville. Esq., Lax & Neville, LLP, New York, NY. Di

Case Number: 10-01986 Hearing Site: Louisville, Kentucky NA"njRgQFTHEPI8PUTI5 Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC ("Claimant" or "Wells Fargo") was represented by Renan 1. Sugannan, Esq., the Law Office of Renan I. Sugarman, Chicago, Illinois. Ronald Lucas Brown, 11 ("Respondent" or "Brown") did not appear. CASE INFORMATION The Statement of Claim was filed on or about April 23,2010. The Submission Agreement

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Lynette Cromwell and Randall Papp vs. Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., and Anthony Frank Provenzano Case Number: 09-04057 Hearing Site: Detroit. Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Lynette Cromwell ("CromweH") and Randall Papp ("Papp") was represente

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01798 UBS Financial Services inc. Respondent Hearing Site: San Francisco, California Robert Holmes Gunning Nature of the Dispute: iVIember vs. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Services inc., hereinafter referred to as "UBSFS" or "Ctaimanf: Devin A. Donohue, Esq., Paimer, Lombardi & Donohue LLP, Los Angeles,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-05471 Charles Schwab & Co., Inc. Respondent Hearino Site: San Diego, California Kristian Daniel Colvin Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, Charles Schwab & Co., Inc., hereinafter refened to as "Claimant" or "Schwab": John Farrell. Esq., Fish & Richardson P.C, Redwood City, California. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number. 09-01854 James Elist Emil Haiimi George Daneshgar Yahouda Emrani Abraham Assii Respondent Hearing Site: Los Angeles. California UBS Financial Services Inc. Third-Party Claimant UBS Financial Services Inc. Third-Party Respondent Halston Mikail Nature of the Dispute: Customers vs. Member Member vs. Non-Member REPRESENT

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Paul Smaza and Karea Smaza vs. Case Number 09-02966 1-learing Site: Detroit, Michigan Names of Respondents Rfth Third Securities, Inc., Fifth Third Bank, and The Hartford Life insurance Company HATyREQFTHEPISPUTB Customers vs. Member and Non-Members REPRESENTATIQW QF PARTIEiB Paul Smaza ("Paul") and Karen Smaza ("Karen"), hereinafter coiiective

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Paul Moore vs. Name of Respondent Lincoln Financial Advisors Corporation Case Number: 10-00026 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Paul Moore ("Claimant") appeared pro se. Lincoln Financial Advisors Corporation ("Respondent") was represented by Eric A. Michaels, Esq., Saretsl^y,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Isabelle C. Chang (Claimant) vs. Advisory Group Equity Service Ltd. and Troy Kevin McElreath (Respondents) Case Number: 09-05931 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Isabelle C. Chang hereinafter referred to as "Claimant": Stephen Z. Frank, Esq., North Conway, NH. Respondents A