AWARD FINRA DISPUTE RESOLUTION CASE: 10-00284 Wells Far^o Advisors, LLC, formerly known as Wachovia Securities LLC (Claimant) vs. Joseph Morgan (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, inc., Haziet, NJ. Respondent appeared pro se, Kennerdeil, PA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 20,2010 CASE SUMMARY: Claimant asserted the following cause of

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00107 Catherine Miner (Claimant) vs. Chase Investment Services Corp. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Gregory L. Miner, Metairie, i-A. For Respondent appeared Mary Ann Jenkins, Esq., JP Morgan Chase & Co., Dallas, TX. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 4, 2010 CASE SUMMARY: Claimant asserted the following causes of action: un^itability, violation of FINRA Rule

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07241 Michael Koch (Claimant) vs.UBS Financial Sen/ices, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Scott K. Porsborg, Esq., Smith Bai(ke Porsborg & Schweigert, Bismarcl(, ND. For Respondent appeared Alise Johnson Henry, Esq., Bressier, Amery & Ross, P.C., Miramar, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 30,2009 CASE SUMMARY: Claimant requested the following re

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06839 Christopher Carter (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Paric City, UT. For Respondent appeared i^ieredith Felde, Esq., E*Trade Securities LLC, Roseviiie, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 1,2009 CASE SUMMARY: Claimant alleged that Respondent failed to follow his instructions to tender his shares. The c

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06620 Koch Construction, Inc. (Claimant) vs.UBS Financial Sen/ices, inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Scott K. Porsborg, Esq., Smith Bakke Porsborg & Schweigert, Bismarck, NO. For Respondent appeared Alise Johnson Henry, Esq., Bressier, Amery & Ross, P.C., i^liramar, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 18, 2009 CASE SUMMARY: Claimant requested the

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Austin Frishman and Bart>ara Frishman, individually and as Joint Tenants with Right of Survivorship and as Tmstees of their respecttve IRA accounts and as Trustees of their respective Trust accounts Names of the Respondents Wachovia SecurtUes. LLC FMSbonds, Inc. Case Number 09-00807 Hearing Site: Boca Raton, Florida Nature of the

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-07097 Debbie K. Gardner Erica M. Gardner Respondent Hearing Site: San Francisco, Califbmja Edward Jones Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Debbie K. Gardner and Erica M. Gardner, hereinafter referred to collectively as "daimants": Debbie K. Hancock, Santa Cruz, California. Respondent, Edward

AWARD FINRA Dteputo Reeoiutlon In the Matter of the Arbttration Between: Names of Claimante Marie & Patricia Sims and Andrew & Patricia Sims vs. Case Number 08-01631 Hearing Stte: Cleveland, Ohio Name of Resoondent/Counter-Ciaimant Wachovia Securtties, LLC vs. Names of Counter-Resoondente Mart( & Patricia Sims NATURg OF THE DISPUTg Customera vs. Member REPRgSENTATIQN OF PARTIES Marie & Patricia Sims and Andrew & Patricia S

AWARD FINRA DIeputo Reeoiutlon in the Matter of the Aristtration Between: Name of Claimant Morgan Stanley & Co. Incorporated vs. Case Number 09-02210 Hearing Stte: Cleveland, Ohio Name of Respondent Douglas A. Ross NATURE OF THE DISPUTE Member vs. Associated Peraon REPRESENTATION OF PARTIES Morgan Stanley & Co. Incorporated ("Claimanr) was represented by Ronate Kane, Esq., Kane & Fischer, LTD, Chicago, Illinois. Douglas A. Ross ("

Award FINRA Dtepute Reeoiutlon In ttw Matter of the Arbttration Between: Claimant Case Number 09-05092 VIshal Thacker IResDondente Hearino Stte: San Frandsco. Calttbmte George Manud Ramirez MFR Securities, Ina Netore of ttw Dispute: Assodated Person vs. Member and Assodatsd Person REPRESENTATION OF PARTIES Claimant VIshal Thacker. hereinafter rsfened to as "Claimant*: Pro Se, San Frandsco, Calttbmte. Respondente, George Manuel Ramiraz