Award FINRA Dispute ftoaolutlon In the Matter of the Arbitration Between: Names of the Claimante Case Number: 09-01592 Craig Kneisly as the Successor Trustee of the Alf Co., Inc. Retirement Truste and as Tnjstee of the Mariette Kneisly Trust Name of the Respondent Hearing Site: Memphis, Tennessee Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert Kneisly as Trustee of the Alf Co., In

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01788 UBS Financiai Services. Inc. ("Claimant") vs. Felix E. Deacon, ill fRespondenf) REPRESENTATION OF PARTIES: For Claimant UBS Financiai Services, inc.: James L Komie, Esq., Schuyler, Roche & Crisham, PC, Chicago, IL. Respondent Felix E. Deacon, ill did not appear. isJATURE OF DISPUTE: Member vs. Associated Person. DATE FILED: April 15, 2010. CASE SUMMARY: Claimant asserted the following causes of action: 1)

Award HNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Numtwr 09-01577 David Kronsbein Name of the Respondent Hearing Site: Tampa, Florida Ameriprise Financial Services, Inc. Nature of the Dispute: Associated Person vs. Memt>er. RgPREgPNTATION QF PARTIS? For David Kronsbein, hereinafter rsffanred to as "Claimanf: Vincent B. Lynch, Esq., Robblns Equttas, Lawyers & Counsellors, St. Petersburg, Florida.

STIPUU^TED AWARD FINRA Dispute Resolution In the IMatter of the Arbitration Between: Name of Claimant Laurel Blau Revocabta Trust U/A DTD 11/5/83, Joel M. Btau and Gary Biau.Trustees vs. Case Number 00-00415 Hearing Site: Chicago, Illinois Names of Resoondente Charles Schwab & Co., inc. and Kimon P. Daffbtis NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES • Laurel Blau Revocabta Tr

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Case Number 08-04247 Hearing SHe: Pittsburgh, Pennsylvania Name of Resoondent/Counter-Ciaimant Bryan Ziencik MATURE OF THgPiaPUTg Member vs. Associated Person REPRESENTATIQM OF PARTIES Meniii Lynch, Pierce, Fenner & Smith, Inc. ("Claimant" or "Merrili Lynch") was represented by Je

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of the Ciaimant Case Number: 09-04458 George Wendell Trotter Names of the Respondents Hearina Site: Birmingham, Alabama Parte Avenue Securtties, LLC Christopher Scott Miller Nature ofthe Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES George Wendell Trotter, hereinafter referred to as "Claimant," appeared pro se. For Parte Avenue S

Award FINRA Dtoputo RMdutlon In the Matter of the Art>ttration Between: Cteimant Case Number 09-01865 Donald S. Morrow Respondente Hearina SHe: San Frandsco, Caittbmte Wedbush Securities Inc. Usa Ann Galto Nature of the Dtepute: Customer vs. IMember and Associated Person REPRESENTATION OF PARTIES Claimant. Donald S. Morrow, hereinafter refened to as "Ciaimanf: Lawrence W. Miles, Jr., Esq., The Miles Law Finn, Sacramento, CalHbmia. Res

AWARD FINRA Disputo Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Citigroup Global Maricete, Inc. d/b/a Smrth Bamey vs. Case Number 09-03366 Hearing Site: Houston, Texas Name of Resoondent/Counter-Cteimant Angela M. Roaric NATURE QF THE PI8PUTE Member vs. Associated Person RgPRESgNTATION QF PARTIES Citigroup Global Maricete, Inc., d/b/a Smith Bamey C'Cteimant") was represented by Erin E.

AWARD FINRA Disputo Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Maricete, Inc. d/b/a Smrtti Bamey vs. Case Number. 09-02502 Hearing Site: Olctehoma City, Oldahoma Name of Respondent Brent R. Bishop NATURE OF THE DISPUTE Member v. Associated Person REPRESENTATION QF PARTIES Citigroup Global Maricete, Inc. d/b/a Smith Bamey ("Claimant^) was represented by Erin E. Mac Avoy, Esq., Alonso, And

AWARD FINRA Dtoputo Reaolutlon In the Matter of the Ari3ltration Between: Name of Claimant Joyce B. Glynn vs. Case Number 09^2834 Hearing SHe: Houston, Texaa Names of Respondente Morgan Stanley & Co., Incorporated, TTiomas Anton Fens, and Linda R. Poole MATURg OF THE DISPUTE Customer vs. Member, Non-Member, and Associated Person REPRESEMTATIQN OF PARTIES Joyce B. Glynn ("Claimant") appeared pro se. Morgan Stanley & Co., Incorp