Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 08-03023 Edgar T. Cleric. M.D. Individually, And as Owner of the Edgar T. Claric Charies Schwab & Co. Inc. Oust. SEP-IRA Name of the Respondent Hearina Site: Los Angeles, Califomia Charies Schwab & Co., Inc. Bmce Goldman Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Edgar

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-02874 Matt Lichtenberg David Living Trust Will Ferreii Viveca Paulin Respondent Hearing Site: Los Angeles, California J.P. Morgan Securities LLC. f/k/a J.P. Morgan Securities, Inc., f/k/a Bear, Stearns & Co. Inc. Counter-Claimant J.P. Morgan Securities LLC, f/k/a J.P. Morgan Securities, Inc., f/k/a Bear, Stearns & Co. Inc.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Nameof Claimahf Garland L. Horn vs. Name of Respondent Dayspring Investment Group, Inc. ^ Case Number: 10-00247 Heanng Site: Oklahoma City. Oklahoma NATURF9P-p|icp|c^p^^TP Customer VS. Member REpRESFMTAtiOM OF PAPT^p«^ SS^lSrl^^^iJ'^ ^ was represented by John . Milier. Esq. Swanson Midgley CASE IMFOPMiiiTp^ ISfeellrS-ilS^^^^ ^ 2010 The Submission

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants R. Corey Walters and R. Corey Walters Investments vs. Case Number: 10-01257 Hearing Site: Houston, Texas Name of Respondent Wells Fargo Investmerits, LLC NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES R. Corey Waiters and R. Corey Walters Investments ("Claimants") appeared pro se. Weils Fargo Investments, LLC ("Respondent"

AWARD FINRA Dispute Resolution In the Matter of the ArtDitration Between: Name of Claimant Merrill Lynch : Pierce, Fenner & Sm vs. Name of Respondent Richard Dorman, Jr. Case Number: 09-05727 Hearing Site: Pittsburgh. Pennsylvania Member vs. Associated Person Richard Domian. Jr. ("Respondent") appeared pro se. The statement of Claim was filed on or about October 2 2009 Tho Qnhrr,...- Agreement of Claimant, Merrill Lynch Pierce Fenner r^mi

AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Andrew D. Drake and Paul Harden vs. Case Number: 09-01958 Hearing Site: Indianapolis, Indiana Name of Respondent Chase Investment Services Corp. NATURE OF THE DISPUTE Associated Persons vs. Member REPRESENTATION OF PARTIES Andrew D. Drake ("Drake") was represented by Gregory L. Thomas, Esq., Indianapolis, Indiana until on or about May 27,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Investment Professionals, Inc. vs. Case Number: 09-00364 Hearing Site: San Antonio, Texas Names of Resoondents/Counter-Claimants Betsy Bratton Perryman and Matthew Thomas i^arcom NATURE OF THE DISPUTE Member vs. Associated Persons REPRESENTATION QF PARTIES Investment Professionals, Inc. ("Claimant") was represented by Joseph B.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 09-06739 Charies Boone Names of the Respondents Hearing Site: Memphis, Tennessee Merrill Lynch, Pierce, Fenner & Smith, Inc. Harvey Phillip Cook Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Charles Boone, hereinafter referred to as "Claimant", appeared pro se. For Merrill Lynch,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05821 Robert D. Hoge Names of the Respondents Hearing Site: Atlanta, Georgia Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney, Inc. and Christopher M. Payne Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert D. Hoge, hereinafter referred to as "Claimant": Ro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-02030 Sam and Martha Massey Name of the Respondent Hearing Site: Memphis, TN Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sam and Martha Massey, hereinafter collectively referred to as "Claimants": H. Naill Falls, Jr., Esq., Falls & Veach, Nashville, TN. For Morgan Keegan &