Award FINRA Dteputo Reeolution In the Matter of the Arbitration Between: Cteimant Case Number 09-06009 Merrill Lynch, Pierce, Fenner & Smith Incorporated Respondent HesrlnaSite: IJOS Angetes, California David Sebastian Nllsen Nature of the Dispute: Member vs. Associated Person REPRESENTATiON OF PARTIES Claimant Merrill Lynch, Pterce, Fenner & Smitti Incorporated, hereinafter refened to as "Merrill Lynch" or "Claimant": Jeffrey F.

Award RNRA DIaputo Reeolution In ttie Matter of ttie Art)ltration Between: Name of ttie Cteimant Case Number 08-02032 Invesbnent Professtonals, Inc. Name of ttie Respondent H^flrirTg §)te; Houston, Texas Kevin Lee Mathte Nature of ttie DIsputo: Membervs. Associated Person REPRESENTATiON OF PAHTiES Claimant, Investment Professtonate, Inc., hereinafter refened to as "CteimanT: Christopher H. Tovar, Esq., Investment Professtonate, Inc., San Anto

Award FiNRA DIaputo Reeolution In ttie Matter of the Ariaitraflon Between: Claimant Case Number 08-02012 A^aGeneThaning Respondente Hearing Site: San Francisco, Caiifomte UBS/Paine Webber UBS/Paine Webber Partner's Plus UBS Rnanctel Services Inc. Naturs of the Dispute: Assocteted Person vs. Memk>er and Non-Members REPRESENTATION OF PARTIES Claimant, Ah^a Gene Thaning, hereinafter reterred to as "ClaimanT: James C. Bridgman, Esq., Aspe

Award FINRA Diepute Reeolution In the Matter of ttie Arbitration Between: Morgan Stanley & Co., Incorporated (fonnerly Morgan Stanley DW Inc.) (Cteimant) va. Thomas G. Htoks, III (Respondent) f. 08-01232 Hearing Site: Salt l.ake City, Uteh Nature of ttie Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co., Incoiporated (fonnerly known as Morgan Stanley DW Inc.), hereinafter refened to as "^laimanT: Gregory S

Award FINRA Dteputo Reeolution In ttie Matter of ttie Arbitration Between: Name of ttie Claimant Case Number 08-00303 Hansuell Overterf Name of ttie Respondent Hearing Site: San Francisco, Callfbmte Morgan Stenley & Co. Incorporated f/k/a/ Morgan Stenley DW Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Hansuell Overturf, hereinafter raferred to as "Claimant": Timottiy A. Canning, Esq., Law Of

Award HNRA DIaputo Reeolution In the Matter of the Arbitratton Between: Name of the Cteimant Case Number 07-00478 Citigroup Global Markete, Inc. Name of the Respondent Hearing Site: Las Vegas, Nevada Nathan J. Lorbtetzkl Name of the Counter-Claimant Nathan J. LortrietzM Name of the Counter-Respondent Citigroup Gtobal Markete, Inc. Name of the Thlrd-Partv Claimant Nathan J. |jort)totzkl Name of the Thlrd-Partv Respondente Rober

AWARD FINRA Dispute Reeolution In the Matter of the Arbitration Between: Name of Claimant Ameriprise Financial Sennces, Inc. vs. Case Number 09-05188 Hearing Site: Columbus, Ohio Name of Respondent Jeffrey Luke Westennan NATURE OF THE DISPUTE Member vs. Associated Person Ameriprise Financial Services. Inc. ("Claimant") was represented by Edward A. Walton, Esq., Ameriprise Financial Services, Inc., Detroit, Michigan. Jeffrey Luke Weste

Case Number 09-05258 Hearing Site: Columbus, Ohto NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Financial Sennces, Inc. ("Claimanr) was represented by Edward A. Walton, Esq., Ameriprise Financial Services, Inc., Detroit, Michigan. David N. Moore did not appear. CASE INFORMATION The Statement of Claim was filed on or about September 9, 2009. The Submission Agreement of Claimant was signed on or about September

AWARD FINRA Dispute Rosolutlon In the Matter of the Arbitration Between: Names of Claimants Gregory Hunter and Virginia Hunter vs. Case Number 07-03068 Hearing Site: Detroit, Michigan Names of Respondents GunnAllen Financial, Inc.. Frank J. Bluestein, Questar Capital Corporation, Maximum Financial Group, Inc., and F.F., Inc. MATURE OF THE DISPUTF Customers vs. Members, Non-Members and Associated Person REPRESENTATION OF PARTIES Gr

Award FINRA DIaputo Resolution in the Matter of the Arbitration Between: Name of ttie Claimant Case Number 10-01047 BB&T Investment Services, inc. Names of the Respondente Hearing Site: Chariotte, Nortti Carolina Gray Keneston Daua WeUs Fargo Advisors, I^C Natore of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For BB&T Investment Services, inc., hereinafter referred to as "Claimanf: T. Jonattian Adams, E