Award FINRA DIaputo Reeolutlon In the Matter of the Arbitratton Between: Names of the Ctaimante Case Number 09-03013 ArthurG. Lang, III and Debordh L. Lang, IndivMually and on Behalf of their IndivMual Retirement Accounte Name of the Reaoondent Hearing Site: Rtohmond, Virglnta Wachovta Securittas, LLC Nature of the Dispute: Customer vs. Member. Publto Arbitrator Rtot Program/All Publto Panel REPRESENTATION OF PARTIES For Arthur G.

Award FINRA DIaputs Reeolutlon In the Matter of the Ariditratlon Between: Name off the Claimant Case Number 09-01631 ix>w8B B. Painter Name off the Respondent Hearina Site: Oriando. Florida Merrill Lynch, Pleroe. Fenner & Smith Ina Nature of ttw Dlsputa: Customer vs. Member. Public Art)itrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES For Ijoulse B. Painter, hereinafter refened to as 'Claimant': Philip J. Snyderbum, Esq..

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants James and Peggy Tayior vs. Case Number 09-01388 Hearing Site: Daiias, Texas Name of Respondent Edward D. Jones & Co., L.P. MATURE QP THE DISPUTE Customers vs. Memk>er Pubilc Arbitrator Pilot Program/Ail Public Panel REPRESEMTATIQM OF PARTIES James and Peggy Taylor ("Claimants") were represented by Bruce D. Oakes, Esq. and Richard B. Fosher,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06424 Wells Fargo Advisors, LLC f/k/a Wachovia Securities LLC (Claimant) vs. Brian Gass (Respondent) REPRESENTATION OF PARTIES: For Ciaimant appeared Michael S. Colombo, StreetWIde /\sset Recovery Group, inc., Haziet. NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 11.2009 CASE SUMMARY: Claimant asserted the following cause of ac

Award FINRA Dtoputo Reeolution in ttie Matter of the Aristtration Between: Name of the Claimant Case Number 09-03398 Cttlgroup Global Maricete, Inc. Name of ttie Respondent Hearing Site: Littfe Rock, Aricansas Donald James Psui Natore of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Cttlgroup Global Maricete, Ina, hereinafter referred to as "Claimant": Catento T. Facher, Esq. and Lauren Fox, Esq., Aionso, Andaikar &

Award FINRA Dtoputo Reeolutton in ttie Matter of ttie Afbttration Between: Ctelmant Case Number 0^411933 Andre Hawit Respondent Hearing Site: San Frandaoo, CaWbmta UBS Financfel Sen/lcea Ina Natore of the Diapute: Customer vs. Member REPRESEMTATIQM OF PARTIES Ctaimant, Andre Hawtt, hereinafter refened to as 'X)taknant": Andre Hawtt, Foster City, Carribmta. Respondent, UBS Flnandai Services Inc., herainatter raferrad to as *Ytospondenf: A

Awmrd FINRA DIsputs Raaolution In tha Matters of ttie Art>ltratton Between: Clai Stab Holdings, LLC John Scott VM>er Reapondent Thomas V\toisel Partners LLC And: CUmaot: Thomas Weisel Partners LLC RfiMondente: John Scott Weber Stab Holdings. LLC Case Number. 00^1548 Hearing SHe: Las Vegas, Nevada SuboidlnfltB Case Number 0M2016 Hearino sue: Las Vegas, Nevada Nature of the Disputes: Master ConsoHdated Case 09-01548

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Morgan Keegan & Company, Inc. (Claimant) v. Robert McLelian (Respondent) Case Number: 09-04239 Hearing Site: Boston, Massachusetts Nature of the Dispute: MemlDor vs. Customer. REPRESENTATION OF PARTIES Claimant Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Charies M. Daiziei, Jr.. Esq.. Brock, Clay, Calhoun & Rogers, LLC. Marietto, GA. Respondent Robert M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Phillip D. Newman (Ciaimant) vs. Chase investment Sen/ices Corp. (Respondent) Case Number: 09-03339 Hearino Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Phillip D. Newman hereinafter refened to as "Claimant": Brian M. Cige, Esq.. Law Offices of Brian M. Cige, Somen/ille, NJ. Respondent Chase Investment Sen/ices

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: i^aric R. Patterson (Claimant) vs. Menili Lynch & Co., Inc., and Meniii Lynch. Pierce. Fenner & Smith, inc. (Respondents) Case Number: 09-01920 Hearing Site: Newartc, New Jersey Nature of the Dispute: Associated Person vs. Non-Member and Member REPRESENTATION OF PARTIES Claimant Marie R. Patterson hereinafter refened to as "Claimant": i^nce J. Goti(o, Esq.. Friedman, Kaplan. Sel