Award FINRA Dtoputo Reeolution In ttie Matter of ttie Aristtratton Between: Namaa of ttie Cterimanto Case Number. 09-01924 Victoria A. Carey Paul F. Carey Name of ttie Respondent Hearing SHe: Ratoigh. Nortti Carolina Genworth Financtol Securitiee Corp. Natore ofthe Dtoputo: Cuetomer ve. Member. RSPRE9ENTAT19N 9F PARTIK For Victoria A. Carey (V. Carey^ and Paul F. Carey fP. Caray^, hereinaftor coHectively referred to aa "Claimanto": Andrew

Award FINRA Dtoputo Reeolution In the Matter of the Artittration Between: Name of ttie Ctoknant Case Number. 09-02659 Paulette Resnick, Individually and Pautotte Reentok IRA and SEP NamflQfthftRasDondent HftWlrW Site; Boca Raton, Ftorida Cttigroup Global Mariceto, Inc. Nature of ttie Disputo: Customer vs. Member. REPRESENTATION OF PARTIES For Paulette Resntok IndMduaHy and Pautotte Resntok IRA and SEP, hersinaftor refened to aa "CtaimanT

AWARD FINRA Dtoputo RMOIutlon In the Matter of tha Art)itratton Between: UlameaofCtetoianto Lori Caden and Wanen Marie Friedman vs. CaseNumtier 09-01147 Hearing Site: Loe Angetoe, CalHbmia flames of Reepondento Investment Security Corporation, Heller Capitol Resources Financtol and Insurance Servlcea, Inc., and Gregory Sandor Heltor MATURE QF THE PBPUTE Customers vs. Memt)er, Non-Memt)er, and Assoctoted Person RgPRgSgMTATIQM OP PA

Stiputotod Award FINRA Dtoputo Reedutlon to ttie Matterof ttie Aristtration Between: Name of ttie Ctotoiant Case Number 09-02142 Wachovto Securittes, LLC Name of ttie Respondent Hearing Site: Los Anoetes. CaHfbmto LanyM. Schnaid ftators of ttis Dispute: Member vs. Associated Person Claimant. Wtehovta Securities, LLC, hsrstostter referred to ss "Claimanf: Tlmottiy N. WHI, Eeq., Atoert & WW. LLP, Tonance, CaHfomto. Reepondent, Larry M. SchnaU,

Award FINRA Dtoputo Reeolution In the Matter of the Arbttration Between: Claimant Case Number 08-03839 Tavalyn J, Crim F^fBPOTiffnte Hsaring SHe: Porttond, Oregon Steven Dorman Fox Scott Rowe McMulHn Chariee Schwab & Co., Ina Natore ofthe Dtoputo: Customer vs. Member and Aeeodated Persons REPRESEMTATION OF PARTIES Ctoimsnt Tavalyn J. Crim, hereinafter referred to as "Ctoimsnf: Grsgory L. Powell, Esq., Foster Pepper LLP, Portlend, Oreg

Award FINRA Dtopute Reeolution In the Matter of ttie Art>ttration Between: Name of ttie Clatoiant S^SJilUmbSD 094)0320 Eric Robert Ely Name of ttie Respondent Hwnng Site; Denver. Cotorado MerriH Lynch, Ptorce, Fenner & Smrth Incorporated Nature ofthe Dtopute: Assoctotod Psrson vs. Msmbsr REPfgSeWTATWN OF PART|K Claimant, Eric Robsrt Ely, hereinafler rsfsned to as "Ctolmant": Alan C. Friedberg, Esq., Pendleton Friedberg WUson & Hennessey, Denv

Award RNRA Dtopute Reeolution In ttie Matter of the Art>ttratton Betwfeen: CtotoianliCounter-ReaDondent Case Number 09-02996 WMbush Morgan Securities, Inc. f^yyi^p^^nyCounter-Ciaimant Hearino Stte: Denver, Cotorado John Buckingham Nature ofthe Disputes: Member vs. Assoctoted Person Assoctoted Person v. Member REPRESEMTATK)N OF PARTIES Clalmant/Counter-Res|9ondent, WMbush Morgan Securities, Inc., hereinafler rafened to as "WMS' or "Cla

Award FINRA Dtopute Reeototton In ttie Matter of the Art)ttrBflon Between: Ctelmante Case Number 09^1667 The 2000 Esttier Aboud Revocabte Trust Esttisr J. Aboud IRA Account Rsaoondente Hearing Site: Los Angetos. Califomto WMiovto Securtttoe, aC , nka W M Fargo Advleore, LLC Jamea Robertryan Wheat Natore of the Dtopute: Customer vs. Member and Assocteted Person REPRESENTATION OF PARTIES Claimante, The 2000 Esttier Aboud Revocabte Tnist

Award FiNRA Dtepute Reeolution In ttie Matter of ttie Arbttration Between: Name off ttie Cteimante: Case Number 09-04008 FlavtoAtarcon VirglnteAtercon Betty Akten KetthBeotty Jennifer Beaver Cruz Chavez Joe G. Paulson Christine A. Gsrza Name of ttie tteanondente: Hearino Site: Los Angeles, Califomia WMb Fargo Advisors, LLC f/kte Wachovte Securities, Inc. and A.G. Edwards & Sons, Inc. WMs Fargo Investmente, LLC WeNs Faigo B

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley & Co. Incorporated (formeriy Morgan Stanley DW Inc.) vs. Case Number: 0&-03491 Hearing Site: Chicago, Illinois Name of Respondent Bart J. Ellis MATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co. Incorporated (fonneriy Morgan Stanley DW Inc.) f Claimant" or "Morgan Stanley^ was rspr