AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Marcia L Rasmussen and Richard A. Rasmussen vs. Case Number: 09-04523 Hearing Site: Omaha, Nebrasica Names of Respondents Linsco/Private Ledger Corp. n/k/a LPL Financial Corporation and Daniel Paul Feitz NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Marcia L. Rasmussen ("Mrs. Rasmussen*^ and Rich

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02041 Wells Fargo Advisors, LLC (Claimant) vs. Pamela Lonzo (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Chicago, IL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 30, 2010 CASE SUMMARY.- Claimant asserted the following cause of action: breach of retention award agreement. Claim Dat

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03557 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Columbia, South Carolina Paul A. Callander Nature of the Dispute: IVIember vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant''^ Diane C. Fischer, Esq, Ronald

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00584 Oppenheimer & Co. Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Andrew J. Aragona Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Cory 8. Zadanosky, Esq., Zadanosky & Associates, P.A., Lake Worth, Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-04336 Geraldine L. Bell Respondents Hearino Site: San Francisco, Caiifomia James F. Rudwali Merrill Lynch, Pierce, Fenner, & Smith Incorporated Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant. Geraldine L. Bell, hereinafter refen^ed to as "Claimanf: Pro Se, Sonoma, Caiifomia Respondents,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-05799 liyse Fern Klavir Respondent Hearing Site: Los Angeles, Califonnia Banc of America Investment Services, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Ilyse Fem Klavir, hereinafter referred to as "Claimant": David Harrison, Esq., Law Offices of David Hamson, Beverly Hills, Caiifomia. Respondent, Banc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06393 Wells Fargo Advisors, LLC Respondent Hearing Site: Los Angeles, CA Wade P. Cook, Sr. Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC. fomnerly known as Wachovia Securities. LLC, hereinafter referred to as "Wells Fargo" or "Claimanf: Timothy N. Will, Esq., Albert & Will. L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Evan T. Williams Tmst. L.R. Galio Simple IRA, L.R. Gailo, Terry L Gallo Simple IRA, L.R. Gailo IRA Keith Hutson and Karen Hutson, Banry Weisman and Karen Weisman, Norman M. Some and Barbara K. Some, and Howard Some vs. Names of Respondents Morgan Keegan & Co., Inc.. and Homer VIning, IV Case Number: 09-00039 Hearing Site: St. Louis, Missouri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC vs. Jose A. Larrea Case Number: 10-00076 SITUS: Miami. Florida NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: For Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Fiore & Levins, PLLC, Arlington, Virginia. Respondent did

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michelle L. Ford (Clainnant) v. Affinity Investnnent Services, LLC, Affinity Federal Credit Union, Affinity Financial Services, LLC, and Mark Dubei (Respondents) v. Securities America, Inc., Securities America Advisors, Inc., Vantage Point Financial Services, and Vantage Point Bank (Third Party Respondents) Case Number: 08-02782 IHearinq Site: Newark, New Jersey Nature of the Disput