AWARD FINRA DISPUTE RESOLUTION CASE: 10-03928 LPL Financial Corporation (Claimant) vs. John G. Wirth (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey K. Compton, Esq., Markun Zusman & Compton LLP, Pacific Palisades, CA. Respondent appeared pro se, Rock Hall, MD. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 1, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Representative A

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 08-03260 Newbridge Securities Corporation, ("Claimant") vs. David Katlic, ("Respondent") ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 9, 2008 CASE SUMMARY: Claimant alleged that

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Roland B. IHeidelberg, Jr. vs. Case Number: 09-06229 i-learing Site: Dallas, Texas Name of Respondent Fidelity Brolcerage Services LLC NATURE QFTHE DISPUTE Associated Person vs. Member REPRESENTATION QF PARTIES Roland B. i-ieidelberg, Jr. ("Claimant") appeared pro se. Fidelity Brol^erage Services LLC ("Respondent") was represented by Christian Av

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Thomas W. Muecfce vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 10-01172 {Hearing Site: Houston; Texas NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Thomas W. Muecke ("Claimant") was represented by Debra Brewer Hayes, Esq., The Hayes Law Finn, PC, Houston, Texas. Merrill Lynch, Pierce, F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05976 Teresa Garcia-Fernandez Names of the Respondents Hearing Site: San Juan, Puerto Rico Citigroup Global Markets, Inc. Raquel Gonzalez Font a/k/a Raquel Gonzalez Chavez Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Teresa Garcia-Fernandez, hereinafter referred to as "Claimant": Yuri

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03736 Morgan Keegan & Co. Inc. "Claimant" vs. Marcelo Ivan Jacir "Respondent" REPRESENTATION OF PARTIES: For Claimant: William McCourt Schmitt, Jr., Vice President, Associate Attorney, Morgan Keegan & Co. Inc., Memphis, Tennessee. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 19, 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of promissory

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04669 Thomas L Lewellen, individually and as TTEE of Thomas L. Lewellen Do PA dtd 10/1/80 Vida Faye Hill Thomas L. Lewellen and Mary Lewellen c/f Matthew Lewellen UGMA/AR Name of the Respondent Hearing Site: Little Rock, Arkansas Morgan Keegan & Company Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTI

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05925 Thomas Matchner Respondents Hearing Site: San Diego, California Uvest Financial Services Group, Inc. Mark Andrew Sibert M-Cubed Consulting, LLC Nature of Dispute: Customer vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant, Thomas Matchner, hereinafter refenred to as "Claimanf: Eric J. Benink. Esq

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02724 Jawaid Murtaza Name of the Respondent Hearino Site: Los Angeles. California Charles Schwab & Co., inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Jawaid Murtaza. hereinafter refenred to as "Claimanf: Jawaid Murtaza. Laguna Niguel. California. Respondent, Charles Schwab & Co., Inc., hereina

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00640 Lawrence Ngou Name of the Respondents Hearing Site: Los Angeles, California DeWaay Financial Network, LLC Lawrence Michael Labine a/k/a Larry Labine Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Lawrence Ngou: Peter Brown Dolan, Esq., The Dolan Law Firm, Los Angeles, Cali