AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ensco International Incorporated vs. Case Number: 09-05032 Hearing Site: Dallas, Texas Name of Respondent Jeffries & Company, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Ensco International Incorporated ("Claimant") was represented by Robert L. Wright, Esq., Robert L. Wright, P.O., Fort Worth, Texas. Jeffries & Co

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02393 Morgan Keegan & Co., Inc. ("Claimant") vs. Michael A. Leichman ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Shea O'Brien Hicks, Associate Attorney and William M. Schmitt, Jr., Associate Attorney, Morgan Keegan & Co., inc., Memphis, TN. Respondent did not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATEFILED: May 19,2010. CASE SUMMARY: Claimant asserted the cause of a

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Name of the Claimant Case Number: 09-01054 Merrill Lynch, Pierce, Fenner & Smith Incorporated Names of the Respondents Hearing Site: Tampa, Florida David Manno James Okun Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Menill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Olga Y. Wayne,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01002 Freecharm Limited Names of the Respondents Hearing Site: Miami, Florida Atlas One Financial Group, LLC Atlas Wealth Holdings Corporation Atlas One Capital Management, Inc. Gustavo E. Hegewisch Jorge Garcia-Garcia Flavio A. Lobato Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTA

Award FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04276 James D. Murphy Name of the Respondent Hearina Site: Tampa, Florida Citigroup Global Markets, inc. Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For James D. Murphy ("Murphy"), hereinafter referred to as "Claimant": Robert K. Savage, Esq., The Savage La

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03300 Morgan Keegan & Co., Inc. (Claimant) vs. Brett Jurgen Fisher (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William McCourt Schmitt, Jr., Esq., Morgan Keegan & Company, Inc., Memphis, TN. Respondent appeared pro se. Fishers, IN. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 21, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. Clai

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02953 Donald Joseph Englehart (Claimant) vs. Charies Schwab & Company Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Kent, OH. For Respondent appeared Sean B. Meehan, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATEFILED: June 22, 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to timely follow instructions to

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02929 SagePoint Financial, Inc. (Claimant) vs. Harold D. McNaughton, Jr. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared G. Thomas Fleming, III, Esq., Los Angeles, CA and Justin Sacca, Esq., SagePoint Financial, Inc., New York, NY. Respondent appeared pro se, Fullerton, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 23, 2010 CASE SUMMARY: Claimant asserted the following causes

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02601 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Wilson Chan (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Nicole E. Stadelmaier, Esq., Fiore & Levin, PLLC, Ariington, VA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 2, 2010 CASE SUMMARY: Claimant asserted the following causes of action; breach

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02544 Dorothy L. Bailey (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates LLC, Atlanta, GA. For Respondent appeared Avital Stadler, Esq., Sutheriand Asbill & Brennan LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 27, 2010 CASE SUMMARY: Claimant asserted the following