Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 09-04731 Hildur M. French Respondents Hearing Site: Los Angeles, California The Securities Center, Inc. James Biddle Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Hildur M. French, hereinafter referred to as "Claimant": Jonathan Schwartz, Esq., Law Offices of Jonathan Schwartz, Marina del Rey, C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00243 Michael L. Patnode Name of the Respondents Hearing Site: San Francisco, California E*Trade Securities LLC Jerry P. Anderson Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Michael L. Patnode, hereinafter referred to as "Claimant": Robert V. Cornish, Jr., Esq., Dilworth Pax

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-03964 Banc of America Investment Services, Inc. (n/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated) Respondent Hearing Site: Albuquerque, New Mexico Curtis V. Lund Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Banc of America Investment Services, Inc. (n/k/a Merrill Lynch, Pierce, Fe

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-04956 D. Ward Haarbauer Cecil L. Wyatt Nellie J. Wyatt Walton Miller Name of the Respondent Hearing Site: Birmingham, Alabama Morgan Keegan & Company Inc. James C. Keisoe, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For D. Ward Haarbauer ("Haarbauer"), Cecil L. Wyatt ("

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-00137 Wayne Welsher and Patsy Welsher Robert Maughan Raymond Gaskins, Jr. and Carolyn Gaskins P.W. Jessup and Martha Jessup Name of the Respondent Hearing Site: Raleigh, North Carolina Raymond James & Associates, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Wayne Welsher & Patsy Welsher, her

Stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-04156 Morgan Keegan & Co., Inc. Name of the Respondent Hearina Site: Atianta, Georgia Christopher J. Wilson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Claimant Morgan Keegan & Co., Inc.: William McCourt Schmitt, Vice President and Associate Attorney, Morgan Keegan & Co., Inc., Memphis

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03654 Raymond James Financial Services, Inc. (Claimant) vs. Joel Archer (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jennifer R. Seltenrich, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, MA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 13, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark Evan Liebowitz (Claimant) vs. Pruco Securities, LLC (Respondent) Case Number: 10-02619 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Mark Evan Liebowitz, hereinafter referred to as "Claimant": Stephen R. Bosin, Esq., River Edge, NJ. Respondent Pruco Securities, LLC, hereinafter referred to as "Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Paulsen as Power of Attorney for Ruth Paulsen (Claimant) vs. Wachovia Securities, LLC and Evergreen Investment Services, Inc. (Respondents) Case Number: 08-03963 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant David Paulsen as Power of Attorney for Ruth Paulsen, hereinafter referred to as "Claimant": Herbert

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01182 Howard M. Semones Names of the Respondents Hearing Site: Richmond, Virginia Edward Jones Paul J. Curran Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Howard M. Semones, hereinafter referred to as "Claimant": Kevin W. Holt, Esq., Gentry Locke Rakes & Moore, LLP, Roanoke, Virgi