AMENDED AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Northern Oil and Gas, Inc. vs. Case Number: 08-04398 Hearing Site: Minneapolis, Minnesota Name of Respondent UBS Financial Sen^ices, Inc. NATURE OF THE DISPUTE Customer vs. Member Public Art)itratDr Pilot Program/All Public Panel REPRESENTATION OF PARTIES Northern Oil and Gas, Inc. ("Claimanr) was represented by Matthew T. Boos, Esq. and

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Henry Bendikian and Sheila Bendiician (Claimants) vs. Morgan Stanley & Company, Inc. (Respondent) Case Number. 08-04177 Hearing Site: Boston. Massachusetts Nature of the Dispute: Customers vs. Member. Public Arbitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES Claimants Henry Bendikian ("H. Bendikian") and Sheila Bendikian ("S. Bendikian"), herein

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04871 Rongli Gui and Deming Fu (Claimants) vs. Wells Fargo Advisors. LLC and James Hietpas (Respondents) REPRESENTATION OF PARTIES: Claimants appeared pro se, New London, Wl. For Respondents appeared Demian J. Betz, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 5. 2009 CASE SUMMARY: Claimants asserted the fbilowing cause of act

Award FINRA Dispute Reeolution In the Matter of the Arbitration Between: Timothy John Holt (Claimant) vs. M. J. Whitman LLC (Respondent) Case Number: 09-01446 Hearina Site: New Yori«, New Yori^ Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Timothy John Holt hereinafter referred to as "Claimanf: John D. Singer, Esq. and Michael C. Deutsch, Esq., Singer Deutsch LLP, New Yortc, NY. Respondent M. J. Whitman LLC h

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Augusto H. Andrade, Jr. and Maria A. Andrade (Ctaimante) v. Michael Ewanouski and Wachovia Securities. LLC (Respondents) Case Number: 07-01706 Hearina Site: Boston, Massachusette Natore of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimanto Augusto H. Andrade, Jr. ("A. Andrade") and Maria A. Andrade ("M. Andrade"), hereinafter collective

Award FINRA Dteputo Reeolution In ttie ^Mbe^ of the Artittration Between: Name of ttie Ctelmant Case Number 00-00267 Jo Ann W&ggoner Tmst dated 04^24/1996 Name of ttie Raaoondente Hearing Site: Loe Angeles, CelHbmta Rtehard Aten Mechikoff The Sekiter Companies Incorporated Natore of the Dtepute: Customer vs. Member and Associated Person REPRESEMTATION OF PARTIES Ctelmant, Jo Ann W^oner Trust deled 04/24/1996, herekiafter iBfemed to es

Jl Award FINRA Dtaputo Reeolution In the Matter of ttie Arbttratton Between: Mama of ttie Ctaknante Case Numbar QQ-QOeaA Joan M. Sharpleas and J&L Trust, Joan M. Sharptaee Tnietae Naqfia of ttie Reeoondante Hearino Site! Seattto, Washington Jerome Joseph Stollick, Ameriprise Financtal Sennoes, ina, Commonweatth FInanctal Networic, and Centaurus FInanctal, Inc. Natore of ttie Dtepute: Customere vs. Associated Person and Membera. REPRES

Award FINRA Dtaputo Reeolution In ttie Matter of ttie Arbttrafion Between: fitaknant CaseNumbaroa-oaasi John K. Doemer Respondanta Hearing SHa: San Francisco. Califomia EPtannIng Securities, Inc. Timottiy A. Msnezes Leiand S. Pnnsta Joseph D. Vessalto Gbbs W.Brown Clifford N.G8mbto, Jr. Richsrd E. Boone Scott L. Huttsman LkidaM.Sechser GavyT.Amfiitage Natore of the DIsputo: Customer vs. Member and Assodatsd Porsons

AWARD FINRA Dtepute Reeolution In the Matter of the Arbitration Between: Names of Ctelmante Bernard Cousino and June Cousino vs. Case Number 08-00032 Hearing Site: Detroit, Michigan Names of Respondente GunnAlton Financial, Inc., Franic J. Bluestoin, Quester Capitol Corporation, Maximum Financial Group, Inc., and F.F., Ina and Name of Cros»Ctelmant/Counter Cross-Respondent GunnAlten FInanctel, Inc. vs. Name of Cross-Reaoondent

Award RNRA DIsputo Resolution In the Matter of the Arbitratton Between: NamaoftheClaimantB pase Number 09-02221 Andrsw J. Honzel and Beveriy J. IHonzel flame of the Respondents/ Thlfd-Partv Claimant Hearing Site: Los Angeles, Califomia (Raymond James Financial, Inc. and Raymond James Financial Services, Inc. fiame of ThW-Partv Respondent Benjamin R. Daniels Nature of the Dispute: Customers vs. Non-Member and Member vs. Assodatad Person. REPRE