Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Joseph V. DePalma Case No. 99-05379 Names of Respondents Elliott Gayer Roland 1. Greenspan Robert D. Press Royal Palm Investments, Ltd. f/k/a PCM Securities Limited, L.P. and f/k/a PCM Securities, Ltd. Roy Elterman Robert Mitchell Joseph Silvagni Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Joseph V. DePa

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03198 Elbert C. Henson, by and through his Power of Attorney, Marcia Henson Ward (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Joel M. Everest, Esq., Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: J

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03996 Randall J. Medow and American States Auto Plan, Inc. (Claimants) vs. Citigroup Global Markets, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Keith L. Griffin, Esq., Griffin Law Firm, LLC, Indianapolis, IN. For Respondent appeared Harper Robinson, Esq., Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customers v. Member DATE FILED: September 3, 2010 CASE SUMMARY: Cla

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03033 Robert Joseph Binl< ele (Claimant) vs. Walker Randolph Johnson (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Indian Wells, CA. Respondent appeared pro se, Sherman Oaks, CA. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: June 30. 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to repay fees as required by registered representative agreem

Stipulated Award FINRA Disputs Resolution In the Matter of the Arbitration Between: Bernard Ochs (Claimant) vs. Laidlaw & Co. (UK) Ltd., Jason Anthony Russo, Todd Cirella, Ronald Furst, and Alex Schtaynberger (Respondents) Case Number: 09-06628 Hearing Site: New Yori< , New Yori^ Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Bernard Ochs. hereinafter referred to as "Claimanf: John E. Lawior, Esq..

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Roger Elswicl< vs. Case Number: 09-07075 Hearing Site: Houston, Texas Name of Respondent Chase Investments Services Corporation NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Roger Elswick ("Claimant") was represented by Travis C. Crowder, Esq., Houston, Texas. Chase Investments Services Corporation ("Respondent") was represe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-00009 Jeffrey S. Lieberman Marisel Lieberman Names of the Respondents Hearing Site: Miami, Florida Morgan Keegan & Company, Inc. Julio Almeyda Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jeffrey S. Lieberman ("J. Lieberman") and Marisel Lieberman ("M. Lieberman"), hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04497 Cathleen Hix William Whatley Ann Whatley Rita McGinley Michael Reynolds Helen Reynolds Timothy Olson R. Jane Ridien Marcus Funari Dawn Funari Robert Lowe Kathleen Lowe Sandra Waguespack John Evans Elizabeth Evans Frank Carter Patricia Carter Kevin Riley David Yurko Katrina Yurko

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00597 AXA Advisors, LLC Name of the Respondent Hearing Site: Ft. Lauderdale, Florida Shawn Wooden Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For AXA Advisors, LLC, hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, LLC, Cranford, New Jersey. Shawn Wooden, hereinaft

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04201 Wells Fargo Advisors, LLC (Claimant) vs. James S. May (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared Kevin Dunn, Esq., The Dunn Law Firm, Conroe, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 16, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention A