AWARD FINRA Dtepute Resolution In the Matter of the Art)itration Between: Name of Claimant Greg Merdinger, as Trustee of the Greg Merdinger Revocabte Trust u/a dated June 15,2004 vs. Case Number: 00-03475 Hearing Site: Chicago, Illinois Names of Resoondente Raymond James Financial, Inc., Raymond James & Associates, Inc., and Raymond James Financial Sen/ices, Inc. NATURE OF THE DISPUTE Customer vs. Non-Member and Memt>ere REPRESENT

AWARD RNRA Dispute Resolution In the Matter of the Art)itration Between: Names of Clalmante Jozsef Bedocs and Mabte Bedocs vs. Case Number: 07-02811 Hearing Site: Detroit, Michigan Names of Resoondente GunnAllen Rnanclal, Inc., Quester Capital Corporation, Frank J. Bluestoin, Maximum Rnanclal Group, inc., and F.F., Inc. and NameofCross< :iaimant GunnAllen Rnanclal, inc. vs. Name of Cross-Respondent Quester Capital Corpo

Award FINRA DIsputa Resolution In the Matter of the Aribitration Between: Name of the Claimant Case Number. 0&^ie48 Joseph J. Demty Mr. Joseph J. Demty, IRA Name of the Respondent Hearing Site: Miami, Florida Thinkorswim, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATK)N OF PARTIES r Claimant Joseph J. Demty ("Demty^ appeared pro se and on behalf of Claimant J. Demty, IRA flRA"). For Thinl«)rswim, Inc., hereinafter r

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Clainwtnt Sandra L. Kobel vs. Case Number 08-04163 IHearing Site: Dallas, Texas Names of Respondents 1st Giobai Capital Corp., 1st Giobai, Inc., 1st Giobai Advisors, Inc., 1st Giobai Insurance Services, Inc., 1st Giobai Retirement Sen/ices, Inc., and Cessford Alton Prentice MATURE QF THE DISPUTE Associated Person vs. Member, Non-Members, and Associated Pe

AWARD FINRA Dteputo Reaoiution In the Matter of the Art)ttration Bebveen: Name of Claimant Scott Skinner vs. Case Number 09-04033 Hearing Stte: Houaton, Texas Name of Respondent Menill Lynch, Pierce, Fenner & Smtth Inc. NATURE OF THE PI8PUTE Associated Person vs. Member REPRESErtTATlQN OF PARTIES Scott Skinner ("Claimanr) was represented by Brian D. Buckstein, Esq., Brian D. Buckstein, P.A., West Palm Beach. Florida. Menill Lynch,

AWARD FINRA Dispute Resolution in the Matter of the Arbttration Between: Names of Ciaimante Priscilia E. Hanson and Ariyn E. Hanson, individually and as Tmstees for the Ariyn E. Hanson Trust. as Trustees for the Priscilia E. Hanson Trust, on behatt of the Priscilia E. Hanson IRA, and on behatt of the Ariyn E. Hanaon IRA vs. Case Number: 09-03611 Hearing Site: Minneapoiia, Minnesote Names of Resoondente Wells Fargo Advisore, LLC f/k/a

AWARD RNRA Diaputo Resolution In ttie Matter of the Art)itration Between: Name of Cteimant Ann Ntebauer vs. Caae Number 07-03620 Hearing Stte: Deboit, Michigan Narrow gfRwpontfqnte GurmAlten Rnancial, inc.. Franic J. Bluestein. Quester Capital Corporatton, Maximum Rnanctei Group, inc., and F.F., inc. and Name of Cross-Cteimam/Crosa-Resoondent GunnAlten Rnarwial, Inc. vs. Name of Croaa-Resoondenl/Crosa- Cteimant Quester Cap

AWARD FiNRA Dteputo Resolution in the Matter of the Arbitration Bebiveen: Name of Cteimant Wells Fargo Advisors, LLC flkia Wachovia Securitiea. LLC vs. Caae Number 10-00872 Hearing Site: Houston, Texas Name of Respondent Victor Bailey NATURE OF THgPISPUTg Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Adviaors, LLC f/lc/a Wachovia Securitiea, LLC CWeils Fargo" or "Claimant") was represented by Mary Jo Cantu, Es

AWARD FINRA Dteputo Reaolutlon in the Matter of the Arbitration Between: Names of Cteimante Deft>orah K. Hartman and Ryan J. Hartman vs. Case Number: 07-02883 Hearing Site: Cleveland, Ohio Names of ReaoorKlente / Third-Parhf Ciaimante McDonald inveatmente. Inc. n/k/a Keybanc Capitei Maricete, Inc. and Gregg Aten Harbnan vs. Name of Third-Partv Respondent John Hartman MATURE OF THE DISPUTE Customers vs. Member and Associated Person

AWARD FINRA Diaputo Reaolutlon In the Matter of the Arbibation Between: Name of Claimant Tommy N. Sausley vs. Case Number: 09-02596 Hearing Site: Houston. Texas Names of Resoondente Citigroup Global Maritete, Inc., Nancy Bradley, Gregory Torrette. Christopher Miller and James Stemes MATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Tommy N. Sausley C'Claimanr) appeared pro se.