Award FiNRA Dispute Resolution In the Matter of the Arbitratton Between: Claimant Case Number 08-03706 Banc of America Investment Sen/lces. Inc. Respondent Hearino Site: Las Vegas, Nevada CtiristopherW. Bunker Natore of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Banc of America Investment Sen^ices, Inc., iiereinafter referred to as "Claimanf: Gregory Simon, Esq., Kane & Fischer, Ltd., Chicago, Illinois.

Aiward FINRA Dtepule Reaohillon In ttie l\Mter of the Arfottraflon Between: Name of the Ctelmant CfflW NMfP^ 0M314S IgorZey Name of ttie Reapondent Hearing Site: Los Anoetea. CaHfomte AXAAdvteore,LLC Nature of ttie DIepute: Associated Person vs. Member REPRESENTATION OF PARTIES Ctelmant, Igor Zey, hereinafter referred to as "ClaimantT: James Hubbard, Esq. and Sheny Shore, Esq., Liddte & Robinson, L.L.P., New Yort(. New Yoric Respondent, M

Award nNRA Dtepule Resolullon In the Matter of the Arbitration Between: Nameofthaaaimant C^fi^ NOTtWf; 07-02333 Aaron T.Leone Name off the Respondent Hearing Site: San Frandaco, Callfbmte WM Financial Services, Inc. Nature of the Diaputo: Assodated Person vs. Member REPRESENTATION OF PARTIES Ctelmant, Aaron T. Leone hereinafter referred to as "Cteimanf: Jasper I. Rasmussen, Esq., Patton, Wolan, Carilse, LLP, Oakland, CaHfomte Reapondent,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 08-04166 John J. Hepier Viola E. Hepier Hepier Joint Tenant Survivorship Respondents Hearino Site: Phoenix, Arizona Brewer Financial Services, LLC Gary Michael Capra John Cronin Astori La Salle St. Securities. L.L.C. Nature of the Dispute: Customers vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimants, John J. Hepie

Stipulated Award FINFIA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Tyler J. Smith Name of the Respondent: Fidelity Brokerage Sen/ices, LLC Case Number 08-04292 Hearing Site: Salt Lake City, Uteh Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Tyler J. Smith hereinafter referred to as "Claimant": Bradley Wm. Bowen, Esq., Strong & Hanni Law Fimi, Salt Lake City, Uteh.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Multi-Financial Securities Corporation Resoondente Banc of America Securities LLC Angel Chi Counter-Claimant Banc of America Securities LLC Counter- Respondent Multi-Financial Securities Corporation Case Number: 08-00852 Hearino Site: Denver, Colorado Nature of the Dispute: Member vs. Member and Associated Person Member vs. Member REPRESENTATION

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number: 09-02358 Teri E. Smith, Individually and as Tmstee of the Ruth E. Park Family Tmst Donna J. Wheeler, Individually and as Tnjstee of the Ruth E. Pari( Family Trust Name of the Resoondente: Hearing Site: Phoenix, Arizona Edward D. Gardner Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC Nature of the Dispute: Customers vs. Member and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-03092 Morgan Stenley & Co., Incorporated Respondent Hearing Site: Los Angeles, Califomia Robert Lee Mandeville Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stenley & Co., Incorporated, hereinafter referred to as Xlaimanf: Renan I. Suganman, Esq., Renan Sugarman, P.C, Chicago, Illinois. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants John V.L. Pany & Susan M. Pany, JTWROS The Concetta V. Feam Taist, U/A DTD 2/13/75. John V.L. Panry, TTEE The John V.L. Pany and Susan M. Pany CR Unitrust, U/A DTD 6/01/06. John V.L. Pany. TTEE Case Number. 09-00840 Names of the Respondents Timothy M. Jemlgan Menill Lynch, Pierce, Fenner & Smith, Inc. Hearino Site: Boca Raton, Florida Natur

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03826 Dennis A. Frye. Jr. (Claimant) vs. Fidelity Brol^erage Services. LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se.. West End. NC For Respondent appeared Christine M. Manna. Esq., Fidelity Investments Institutional Services, Boston. MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 22, 2009 CASE SUMMARY: Claimant asserted the following cause of action: negligence. Claim Dat