Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ann Myers (Claimant) vs. Alan Lloyd Knisley, Edward James Mercier, and Wachovia Securities LLC f/k/a AG Edwards & Sons, Inc. (Respondents) Case Number: 08-04144 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Ann Myers hereinafter referred to as "Claimant": Wayne E. Batcheler, Esq., New York, N

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimants Case Number: 09-05381 Iris Victor Berger Iris Victor Trust DTD 08/16/91 Respondents Hearing Site: San Diego, California Ol^oboji Financial Services, Inc. Scott Edward Engel Ralph Roberts Schneider Ralph Stacey Schneider Donahue Edwin Jones Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Iris Victor Berger ("Berger

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimants Case Nunnber: 07-03390 Sharon Larocque Sharon Larocque, IRA Respondents National Financial Services LLC Travis A. Branch Stanley C. Brooi< s Kyle Reed Christensen Brookstreet Securities Corporation Janet Lynn Ross Troy Lucian Gagllardi Julie C. B. Mains Kristopher Charles Kessier Steve Skytte The Brooks Family Trust Counter-Claimant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-05191 Mark Dowie and Wendy Ann Schwartz Joint Tenants Michael Berger and Deborah J. Slater Tmst U/A Dated 10/23/2001 Richard Kirschman Trust Dated 5/28/2008 Respondents Hearing Site: San Francisco, California Charles Schwab & Co., Inc. Kimon P. Daifotis Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTI

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-00702 Wells Fargo Advisors, LLC Respondent Hearing Site: Salt Lake City, Utah Michael Curtis Forbes Counter-Claimant Michael Curtis Forbes Counter-Respondent Wells Fargo Advisors, LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, W

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04271 James Merryman Names of the Respondents Hearing Site: Memphis, Tennessee First Tennessee Brokerage, Inc. Christopher Michael Hicl< s Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James Merryman, hereinafter referred to as "Claimant": Lewis Clayton Culpepper, III, Esq., Evans P

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01288 Morgan Keegan & Co., Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Jeremy G. Tintle Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Co., Inc., hereinafter referred to as "Claimant": Eric Jon Taylor, Esq., Parker, Hudson, Rainer & Dobbs, LLP, Atlanta, Geor

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02401 UBS Financial Services Inc. ("Claimant") vs. Shannon M. Ness-Jackson ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Richard J. Maloney, Esq. and Molly J. Tatman, Esq., UBS Financial Services Inc., Weehawken, New Jersey until on or about August 18, 2010. Thereafter, Brian S. Hormozi, Esq. and Steve Pherson, Esq, of Schuyler, Roche & Crisham, P.O., Chicago, Illinois. Respondent did not appear. NATU

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of the Claimant Case Number 09-02287 Deborah J. Hill, individually and on behalf of IRA Rollover Dated 09/13/92 Name of the Respondent Hearina Site: San Francisco, Califomia Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Deborah J. Hill, individually and on behalf of IRA Rollover Dated 09/13/92, hereina

Award FINRA Dispute Resolution In the Matter of the AdE>itration Between: Claimants Case Number: 07-03064 Lynn L. Monteverde Monteverde Investments, LLC Respondent Hearing Site: Reno. Nevada Hornor, Townsend & Kent, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Lynn L. Monteverde, and Monteverde investments, LLC, hereinafter collectively referred to as "Claimants": Joel A. Goodman, Esq., Goodman & N