stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06845 Morgan Keegan & Co., Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Michael Sean Cain Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Co., Inc., hereinafter referred to as "Claimant": Shepherd D. Tate, Esq., Bass Berry & Sims, Memphis, Tennessee. For M

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03855 UBS Financial Services, Inc. ("Claimant") vs. Craig Marcello ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Brian S. Honnozi, Esq., Schuyler Roche & Crisham, P.C., Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 27, 2010 CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note dated December 2, 2003 (the "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06429 Ameriprise Advisor Services, Inc. (formeriy H&R Block Financial Advisors, Inc.) Name of the Respondent Hearing Site: Atlanta. Georgia John U. Hopkins Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Advisor Services, Inc. (formerly H&R Block Financial Advisors, Inc.), hereinafter

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-07063 A. Walden Welch Patrick W. Curry Name of Respondents Hearing Site: San Francisco, California Raymond, James & Associates, Inc. American Wealth Management, Inc. Jason Lee Seale III Jerome August Borzello Nature of Dispute: Customers vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimants A. Wald

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The Roger & Rosemary Enrico Foundation vs. Case Number: 09-04549 Hearing Site: Dallas, Texas Name of Respondent / Name of Third-Party Claimant Morgan Keegan & Company, Inc. vs. Names of Third-Partv Respondents Terence C. Sullivan and Paragon Advisors, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES The Roger &

STIPULATED AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Southwest Securities, Inc. vs. Case Number: 09-03917 Hearing Site: Dallas, Texas Name of Respondent Bryan Edward Luter NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Southwest Securities, Inc. ("Claimant") was represented by Brian J. Hurst, Esq. and J. Brent Alldredge, Esq., Baker & McKenzie, LLP, Dallas,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Barbara Golds, Individually and in her capacity as Beneficiary of the Jack Golds, IRA, and the Jack Golds Roth IRA vs. Case Number: 09-05805 Hearing Site: Detroit, Michigan Names of Respondents LPL Financial Corporation f/k/a Linsco/Private Ledger Corporation, Legent Clearing, LLC, and David R. Stecl< ler NATURE OF THE DISPUTE Customer vs. Me

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05641 Andrew J. Michalak Names of the Respondents Hearing Site: Baltimore, Maryland American Investors Company Dunham & Associates Investment Counsel, Inc. Dunham Trust Company Salvatore M. Capizzi Holly Lunde Sewell L. Frey, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06330 Kritz Family LLC Name of the Respondent Hearing Site: New Orleans, Louisiana Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Kritz Family LLC, hereinafter referred to as "Claimant": Debra Brewer Hayes, The Hayes Law Firm, P.C., Houston, Texas. For Morgan Keegan & Compan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Karen Hyunga Kim (Claimant) v. RBS Securities Inc. (Respondent) Case Number: 10-00632 Hearing Site: Hartford, Connecticut Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Karen Hyunga Kim, hereinafter referred to as "Claimant" appeared pro se. Respondent RBS Securities Inc., hereinafter referred to as "Respondent": Gabriel L. Williams, Esq,