AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Cliristina Colunga vs. Case Number: 07-02813 Hearing Site: Houston, Texas Names of Respondents GunnAllen Financial, Inc., Andrew J. Longoria, and LRS Investments and Counter-Claimant Andrew J. Longoria vs. Counter Respondent Mary Christina Colunga and Third-Party Claimant / Counter-Respondent Andrew J. Longoria v

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number 04-00772 Isabellta Nopuente 0B1 Lto. Name of the Respondents Hearlno Site: San Francisco, Califomia IH.D. Vest Investment Services Wallstreet Electronica, Inc. Comellus Yongkay Choy Nature of the Dispute: Customers vs. Memt>ers and Associated Person REPRESENTATION OF PARTIES Claimants, Isabeiita Nopuente and 0B1 Ltd., hereinafter co

Award FINRA DIapute Reaolutlon In the Matter of the Arbttration Between: Claimant Case Number: 08-01749 Morgan Stenley & Co.. Incorporated Respondent Hearing Site: Dallas. Texas Van Washington Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stenley & Co. Incorporated hereinafter referred to as "Claimant": Philip J. CampisI, Jr., Esq., Westemnan Ball Ederer Miller & Sharfetein. LLP, Mineola. NewY

Award FINRA DIapute Reaolutlon In the Matter of the Art)ttration Between: Name of the Claimant: Timothy E. Sullivan Name of the Respondent: Advanced Equtties, Inc. Name of the Counter-Claimant: Advanced Equtties, Inc. Name of the Counter-Respondent: Timothy E. Sullivan Case Number 07-01972 Hearing Stte: San Francisco, Caittdmia Nature of the Disputes: Associated Person v. Memt)er Member v. Associated Person REPRESENTATION

Award FINRA DIapute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number. 08-00453 Wells Fargo Investments, LLC Name of the Respondent: Hearing Site: Los Angeles, California William R. Winston Name of the Counter-Claimant: William R. Winston Name of the Counter-Respondent: Wells Fargo Investments, LLC Nature of the Disputes: Member vs. Associated Person Associated Person vs. Member REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Pana l\^erchant vs. Case Number: 08-00381 Hearing Site: St. Louis, Missouri Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Pana Merchant ("Claimant" or "Merchant") was represented by Matthew Clement, Esq., Cook, Vetter, Doerhoff and Landwehr, Jefferson City, Missou

Award FINRA Dispute Reeoiution In the Matter of the Arbitration Between: Names of the Claimant Case Number: 08-00928 H. Scott Scherr Name of the Respondent Hearina Site: Baltimore. Maryland Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For H. Scott Scherr. hereinafter referred to as "Claimant": Thomas C. Costello, Esq., West & Costello, LLC, Baltimore, Maryland. For

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert G. Masterson, Elyse K. Masterson, Masterson Family, LLC, Blake Dillon Masterson, and James Brody Masterson vs. Case Number: 08-00956 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Wachovia Securities. LLC, and Azmi "Andy" Y. Fakhoury NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTI

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant ceo Investment Services Corp. vs. Name of Respondent Richmond A. Ashley Case Number: 08-03455 Hearing Site: Chicago, Illinois Member vs. Associated Person ceo Investment Sen/ices Corp. ("Claimant" or "CCO") was represented by David M. Belcher, Esq. and Christine R. Fitzgerald, Esq., Belcher, Stan* & Fitzgerald. LLP, Boston, Massachusetts. Ri

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Financial Networi< Investment Corporation and Homeland Credit Union vs. Names of Respondents Mari( H. Justice, Justice Financial Sen/ices, Inc. and Mark Justice Financial, Inc. Case Number: 08-03522 Hearing Site: Columbus, Ohio NATURE OF THE DISPUTE Member and Non-Member vs. Associated Person and Non-Members REPRESENTATION OF PARTIES F