Award FINRA Dlsputo Resolution In the Matter of the ArtHtratton Between: Name of tiie Claimant Case Number: 09-04116 Michael Hannon, individually and on behalf of the Michael Hannon Revocabto Trust dated 5/5/93 Names of the Respondente Hearino Site: Richmond, Virginia J.P. Morgan Securities inc. J.P. Morgan Chase & Co. Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Michael Hannon, individually

Award FINRA Diaputo Reaolution In the Matter of the Arbitration Between: Nanfie of ttw Ctaimant Case Number. 09-04418 Wells Fargo Advisora, LLC f/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site: Baltimore, Maryland William G. Adelsberger, 111 Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Weils Fargo Advisora, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant^: St

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of the Claimante Ed IHolmes Brad Malay Ricic Alexander Larry Bagley Chartes Poole Names of the Resoondente MF Global, Inc. Tradewind investmente, LLC Palm Beach Futures & Options, Inc. William Roy Murphree Gary Futoh Bradley Allen Futch Case Number: 08-04194 Hearing Site: Jackson, Mississippi Nature of the Dispute: Customer vs. Member, Non-M

Award RNRA Dtopute Resolutton in the i\4atter of the Arbitration Between: Claimant Case Number 10-00956 UBS Financial Sennces Inc. Respondent Hearino Site: Los Angeles, CaHfomia Uoyd William Graham Nature of the Dispute: Member vs. Associated Person RgPRE?ENTATI9N 9f PARTie? Claimant UBS Financial Sennces Inc., hereinafter refened to as "Ctaimant": Devin A. Donohue, Esq., Palmer, Lombardi & Donohue LLP, Los Angeles, California. Respondent

Award FINRA Dtopute Reaoliitlon In the Matter of the Arbitretton Between: WiBlis Fargo Investmento, LLC Respondent Viotette F. Fabio Case Number 07-03411 Hearing Site: Los Angeles, Califdmia Violette F. Fabio C9unter-Rgspqwl9Pt Wells Fargo Investments. LLC Third-Partv Claimant Violette F. Fabio Third-Party Respondent Wens Fargo and Company Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member and

Award FINRA Dispute Rosohitlon In the Matter of the Art)itration Between: Q^SaSi Cage Number: 10-00688 LPL Financial Corporation Respondent Hearing Site: Seattle, Washington Jeffrey Scott HoUingsworth Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, LPL Financial Corporation, hereinafter refsTred to as X^laimanT: David S. Martcun, Esq., Markup Zusman & Comgton LLP, Pacific Palisades. CaUfbmia. Respon

STIPULATED AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Ciaimant/Counter-Resoondent Ameriprise Advisor Services. Inc. f/k/a H&R Bloclc Financial Advisors, Inc. vs. Name of Resoondent/Counter-Ciaimant Chad E. Henry and Name of Ciaimant/Counter-Resoondent Ameriprise Advisor Services, Inc. f/k/a H&R Btock Financial Advisors. Inc. vs. Name of Resoondent/Counter-Claimant David J. Koch Case Number

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-07165 TD Ameritrade, inc., a New York Corporation (Claimant) vs. Marc A. Labate, an individual (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared R. Matthew Ingraham, Esq., TD Ameritrade, inc., Bellevue, NE. Respondent appeared pro se, Austin, TX. NATURE OF DISPUTE: Member v. Customer DATE FILED: December 23, 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract,

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-07144 Merrill Lynch, Pierce, Fenner & Smith Incorporated (ffk/a Banc of America investment Services, inc.) (Claimant) vs. Anthony Dicesare (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent did not file an Answer and Submission Agreement in this matter. Respondent was previously represented by Angeio A. Rose, Esq., Rose and Reh, LLC, V

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-06913 Wells Fargo Advisors, LLC, formerly known as Wachovia Securities, LLC (Claimant) vs. Waiter Twetten (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michaei S. Colombo, StreetWide Asset Recovery Group, inc., Haziet, NJ. Respondent appeared pro se, Purceiiville, VA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 11. 2009 CASE SUMMARY: Claimant asserted the following ca