stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Adam I. Wachtel (Respondent) Case Number: 09-01970 Hearing Site: New Yori^, New Yori^ Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": David L. Ward, Esq. and Cliff G. Anderson, Esq., Michaels, Ward & Rabinovltz LLP, Boston, MA.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bernadette Harper vs. Case Number: 09-04503 Hearing Site: Houston, Texas Names of Respondents Dean Wolpert and BBVA Compass Investment Solutions, Inc. NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Bernadette Harper ("Claimant") appeared pro se. Dean Woipert ("Wolpert") and BBVA Compass investment So

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04737 Joy Deschaine (Claimant) vs. Richard Jay Bernstein and UBS Financial Services Incorporated (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Canoga Park, CA. For Respondents appeared Kathleen S. Adams. Esq.. UBS Financial Services Incorporated, Los Angeles, CA. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: August 12, 2009 CASE SUMMARY: Claimant asserted the f

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04688 Dolores M. Locher (Claimant) vs. Ameriprise Financial Services, Inc., and Gary William King (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared John A. Locher. Jr.. Eden Prairie, MN. For Respondents appeared Howard M. Klausmeier, Esq.. Ameriprise Advisor Services, Inc.. Detroit, Ml. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 3, 2009 CASE SUMMARY: Claimant

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05123 Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Claimant) vs. Jeffrey Whittaker (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey M. Csercsevits. Esq., Rubin, Fortunate & Harbison. PC. Paoli, PA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 1, 2009 CASE SUMMARY; Claimant asserted the following cause

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04782 Wachovia Securities. LLC (Claimant) vs. Matthew D. Fitch (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Renan I. Sugarman, Esq.. Renan Sugarman. P.C, Chicago. IL. Respondent appeared pro se, Albertville, MN. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 13, 2009 CASE SUMMARY. Claimant asserted the following causes of action: breach of contract and unjust enrichment.

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04788 John R. Matthews (Claimant) vs. LPL Financial Corporation (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Thorp, WA. For Respondent appeared James D. Vannah, Esq., LPL Financial Corporation. Boston. MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 11. 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to follow Instructions to liquidate and transf

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04892 Xiqiang Li ai\da Alec Li (Claimant) vs. Pali Capital, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Angelo D. Tartaro, Esq., Rogers & Tartaro, LLP. Ridgefield. CT. For Respondent appeared Mitchell Baruchowitz, Esq.. Pali Capital. Inc., New York. NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: August 20, 2009 CASE SUMMARY; Claimant asserted the following causes of action: br

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jill Eileen Clark (Claimant) v. Chase Investment Services Corp. (Respondent) Case Number: 09-03520 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Memt>er. REPRESENTATION OF PARTIES Claimant Jill Eileen Clark hereinafter referred to as "Claimant" appeared pro se. Respondent Chase Investment Services Corp., hereinafter referred to as "Respondent": Fr

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04040 Susan Ryan (Claimant) vs. Angela Gray. Angela Lenehan, and Fidelity Brokerage Services, LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Needham, MA. For Respondents appeared Diane M. Brown, Fidelity Brokerage Services LLC, Boston. MA. NATURE OF DISPUTE. Customer v. Associated Persons and Member DATE FILED: July 7. 2009 CASE SUMMARY: Claimant alleged that Respondents failed to fo