Award FINRA Dispute Resolution In tlie Matter of the Arbitration Between: Daniel Russo and Barbara Russo (Claimants) vs. Wachovia Securities. Inc. f/k/a A.G. Edwards & Sons Inc., and IVIichael Greene (Respondents) Case Number: 09-00742 IHearina Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Daniel Russo ("D. Russo") and Barbara Russo ("B. Russo"), hereinafter collectivel

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Laura Quigley (Claimant) vs. Eugene W. Tuite, Wachovia Securities, LLC, and Ralph A. Saviano (Respondents) Case Number. 08-02791 Hearing Site: Newarl^, New Jersey Nature of the Dispute: Customer vs. I\^emberand Associated Persons REPRESENTATION OF PARTIES Claimant Laura Quigley hereinafter refen-ed to as "Claimant": Theodore M. Davis, Esq., Law Offices of Theodore Davis, Esq., L

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Diane J. Reach vs. Case Number: 08-02238 Hearing Site: Pittsburgh, Pennsylvania Names of ResDondentsn"hird-Partv Claimants Oppenheimer & Co., Inc. and Philip K. Cimino vs. Name of Third-Party Resoorwlent William C. Resch NATURE OF THE DISPUTE Customer vs. Member and Associated Person Diane J. Resch ("Claimant" or "Ms. Resch") a

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arisitration Between: AXA Advisore, LLC vs. KirkWestermann Case Number 09-04741 SITUS: Chariotte, North Carellna NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: AXA Advisors, LLC, hereinafter refan^ to as "Clalmanf: Kenneth O'Connor, Esq.. Lublner & Schmidt, L.L.C., Cranfbrd, New Jersey. Respondent did not enter an appearance In this matter. DATE FILED: August 12,2009

Award FINRA Disputa Reaolutlon In the Matter of the Arialtration Between: Names of the Claimant Case Number: 09411588 John Brian Busacca Names of the Respondents H^^rino Site: Oriando. Florida Timothy Ward Bruce Blatman Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES John Brian Busacca, hareinafter referred to as "Claimant", appeared pro sa. Respondent Timothy Ward ("Ward"), appeared pro se. F

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joe Carico vs. Case Number: 08-00780 Hearing Site: Charleston, West Virginia Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Marsha Adkins, and Robert Powers, Jr. Customer vs. Member and Associated Persons Joe Carico ("Claimant") was represented by Douglas V. Reynolds, Esq.. Reynolds & Associates, PLLC, Huntington, West Virginia.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fredi Queen (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-01094 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Fredi Queen, hereinafter referred to as "Claimant": David H. Ledgin. Esq.. Mineola, NY. Respondent Citigroup Global Markets, Inc., hereinafter referred to as "Respondent": J

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02735 Larry Turpin, Independent Executor of the Estate of Lillian Turpin (Claimant) vs. WHIiams Financial Services and LPL Financial Corporation (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared M. Michael McLarty, Esq.. M. Michael McLarty. P.C, Arlington, TX. For Respondents appeared N. Nancy Ghabai, Esq.. LPL Financial Services, Boston. MA. NATURE OF DISPUTE: Customer v. Non-Member and Member

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of the Claimant: Case Number 09-00877 Frank R. Lopez, Individually and as Tmstee to the Frank R. Lopez Living Tmst, dtd 09/27/2007 Name of the Respondent: Hearing Site: Los Angeles, Califbmia Wells Fargo Investments, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Frank R. Lopez. Indivkiually and as Tmstee to the Frank R. Lopez Liv

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-01578 Steven L. Linsey Trust Respondent Hearino Site: San Francisco, Califbmia E^Trade Securities LLC Nature of the Dispute: Customer vs. Member REPRESENTATiON OF PARTIES Claimant, Steven L. Linsey Trust, hereinafter referred to as "Claimant": Steven L. Linsey, San Francisco, California. Respondent, E^Trade Securities LLC, hereinafter referre