AWARD FiNRA Dispute Resoiution In the Matter of the AriDitration Between: Name of Claimant Merrill Lynch, Pierce, Fenner & Smith Inc. vs. Case Number: 09-06300 Hearing Site: Houston, Texas Name of Respondent Oscar Penn NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith Inc. ("Menrill Lynch" or "Claimant") was represented by Amy. M. Fritsky, Esq., Rubin, Fortunate & Hari5i

AWARD FiNIRA Dispute Resoiution In the Matter of the AriDitration Between: Name of Claihfiant Joseph J. Jefferys vs. Name of Respondent Merrill Lynch, Piercb, Fenner & Smithi Inc. Case Number: 09-03814 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Customer VS. Member REPRESENTAtiON OF PARTife Joseph J. JefferysC^CIaimanf or "Jeffreys") was represented by David P. Meyer, David P. Meyer & Associates, Co., LPA, Columbus, Ohio until

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gregory R. Doane (Claimant) vs. Morgan Stanley & Co., Inc. (Respondent) Case Number: 08-00978 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Gregory R. Doane, hereinafter referred to as "Claimant": Christopher J. Gray, Esq., Christopher J. Gray, P.C, New York, NY. Previously represented by Roy L. Jacobs, Esq., Roy

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Joseph K. Borkowski (Claimant) vs. Merrill Lynch, Pierce, Fenner and Smith (Respondent) Case Number: 08-02389 Hearing Site: New Yori^, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Joseph K. Borkowski ("Claimant"): Marc A. Susswein, Liddle & Robinson, LLP., NewYori^, NY. Respondent Merrill Lynch, Pierce, Fenner and Smith ("

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02242 Matthew J. Mielewski (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Los Angeles, CA, For Respondent Louis G. Santangelo, Esq., Citigroup Global Markets, inc.. New York, NY, NATURE OF DISPUTE: Associated Person vs. Member "" ~ ~ DATE FILED: May 11,2010 CASE SUMMARY: Claimant asserted the following cause of action: unpaid vacation

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06754 James Richard Populorum Names of the Respondents Hearing Site: Raleigh, North Carolina The Tidal Group Janice Hallett Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES James Richard Populorum, hereinafter referred to as "Claimant," appeared pro se. For The Tidal Group ("Tidal") and J

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02589 Frank L. Flautt, Jr., Revocable Trust Agreement dtd 12/5/02 Frank L. Flautt TTEE Frank L. Flautt, Jr. Rollover IRA Flautt Family Foundation Brenda C. Flautt Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Keegan & Company Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01807 Bruce B. Raynor (Claimant) vs. Samuel Wright Starling II (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Greensboro, NC. For Respondent appeared Chan Nam, Esq., Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customer vs. Associated Person ~ ~ DATE FILED: April 13, 2010 CASE SUMMARY: Claimant asserted the following causes of action: unsuitabiiity and failure to act

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: J.P. Turner & Company, L.L.C. (Claimant) v. Mitchell Sloane (Respondent) Case Number: 09-03551 Hearing Site: New Yorl< , New Yorl< Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant J.P. Turner & Company, L.L.C, hereinafter referred to as "Claimant": Eric J. Dec, Esq., J.P. Turner & Company, L.L.C, Atianta, GA. Respondent Mitchell Sloane herei

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kevin Holloway and Shyamala Holloway (Claimants) vs. Kenneth Thom and Kevin Burr (Respondents) Case Number: 09-02623 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons REPRESENTATION OF PARTIES Claimants Kevin Holloway ("K. Holloway") and Shyamala Holloway ("8. Holloway"), hereinafter collectively referred to as "Claimants": Kevin Holloway,