AWARD FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of Claimant Wachovia Securities, LLC n/k/a Wells Fargo Advisers, LLC vs. CaseNumtwr 09-02732 Hearing Site: Dallas, Texas Name of Respondent Wesley G. Long NATURE OF THE DISPUTE Memk)er vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC n/k/a Wells Fargo Advisers, LLC ("ClaimanT) was represented t>y Stephen D. Bums, Esq., Flore & Le

Award FINRA Dteputo Reaoiutlon In ttie Matter of ttie Arbttratton Between: Name off ttie Ctetoiant Case Number. 0SO1816 TheTrust Agreement of Emma Doris B. Bufldn dated 6/21/95, as amended, ttirough ite tmstee Wiiltem Bufldn Emma Bufldn, Indhrtoually, through her attomeynn-fact Wiiltem Bufldn Name of ttie Reapondente: HWrlPfl 9^- Denver, Cotorado Merrill Lynch, Pterce, Fenner & Smitti Incorporatsd AttonMayeu Sharon Bentz Natere ofthe Dlap

Aivard RNRA DIsputo Reaoiutlon In ttie Matterof ttie Art)ttration Between: Ijoto H. Lovlns (Claimant) vs. UBS Finandal Sen^ices, Inc. (Respondent) Case Number 09-00593 Hearing Stte: Los Anoeles. CaHtomte Nature of ttie Dtopute: Associated Person vs. Member. REPHESENTATION OF PARTIES Cteimam Loto H. Lovlns hereinafter referrsd to as "Claimanr: Erwin J. Shustak, Esq. and George C. Milter, Esq., Shustek Frost & Parttiers, P.C., San Diego, CA. Reapondent

Award FINRA Dtoputo Resolution In ttie Matter of ttie Arbitration Between: Ctelmante Case Number 08-02135 Marc Mauney & Lynne Rogerson Revocabte Living Trust Qualified Tennlnabto Interest Tmst Respondent Hearing Site: Seattto. Wtahington Charias Schwab & Co., Inc. Nature of the Dispute: Customers vs. Member REPRESeNTATIQH OF PARTt^ Ctelmante, Marc Mauney & Lynne Rogerson Revocabte Living Tnjst, and Qualified Termlnabte Interest Tmst, here

Award RNRA Dieputs ReaoMon In the Matter of the Arbitration Between: Name of tha Claimant Case Number. 07-03006 J A Majors Corporation Name of the Respondents KJeadQaSltBL Dallas, Texas PFPCIna, Wtehovia Corporation, and Paine Webber, Inc. n/k/a UBS Rnancial Services, Inc Nature of the Dispute: Customer vs. Non-Membeis and Member. REPRESENTATION OF PARTIES Claimant J A Majors Corporata'on herainafter raferred to as '^laimaniT: Marie A. He

Award FINI^ Dispute Reaoiutlon In the Matter of the Ari3itration Between: Noele Wein, Alan J. Wein, M.D., Ph.D., and Nolan Sen/ices, Inc. I(Claimante) vs. Menill Lynch, Pierce, Fenner & Smith, Inc., and Jeffrey D. Schrader (Respondente) Case Number: 08-04107 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Noete Wein (^N. Wein"), Alan J. Wein ("A. Wein") and No

Aivard RNRA DIaputo Reaoiutlon In the Matter of the Arbitratton Between: Name of the Claimant Caae Number 07-02962 Thomaa Devera Names of the RMPOTrigntff Hearino Site: Boca Raton, Rorida Jesup & Lmnont Securtttes Corp. Empire Fhandal Qroup, Inc. Stephen J. DeGroat Peter McMullln Robert M. Wassennan Naturs of the Dispute: Associated Person vs. Member and Associated Person. HEPRESEWTATIQN OF PARTIES For Thomas Davers, hereinafter r

AWARD I FINRA DISPUTE RESOLUTION CASE: 09-05065 j Joseph Kelly and May F. Kelly (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith. Inc. I (Respondent) • REPRESENTATION OF PARTIES: | Claimante appeared pro se. La Seu, Spain. For Respondent appeared Eric Glassman, Esq., Mennemeier, Glassman & Stroud LLP, Sacramento, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: August 31, 2009 CASE SUMMARY: Claimante asserted the fo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Arnold Chase Family, LLC, Chase Enterprise IHoldings, LLC, Cheryl Chase Family. LLC, DTC Family Investmente. LLC. The Cheryl Anne Grantor Trust, and The Darland Trust (Qaimante) v. UBS AG. UBS Securities LLC, and UBS Financial Services Inc. (Respondente) Case Number: 08-01117 Hearina Site: IHartford. Connecticut Nature of the Dispute: Customers vs. Membere and Non-Member REPRESE

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05197 Warren A. Powers Tnjst (Claimant) vs. LPL Financial Corporation and Kevin Richard Wiciiman (Respondente) REPRESENTATION OF PARTIES: For Claimant appeared Warren A. Powers, Dayton, OIH. For Respondents appeared David J. Frenlere, LPL Financial Corporation, Boston, MA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: September 1, 2009 CASE SUMMARY: Claimant asserted the following caus