AWARD FINRA DISPUTE RESOLUTION CASE: 10-0183g Merrill Lynch. Pierce, Fenner & Smith Incorporated (Claimant) vs. Robert Halldin (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diane C. Fischer, Esq., Kane & Fischer, Ltd, Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: April19. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of p

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald H. Kline (Claimant) v. Stifel. Nicolaus & Co., Inc. (Respondent) Case Number 08-04725 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Ronald H. Kline hereinafter refened to as "Claimant": Nicholas J. Gulliano, Esq., The Gulliano Law Flrni, Philadelphia. PA. Respondent Stifel. Nicolaus & Co.. Inc. here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Christopher Carthew (Claimant) vs. J.P. Turner & Company L.L.C., Milestone Financial Services. Inc., John Thomas Financial, Legent Clearing, and Eric C. Gretchyn (Respondents) Case Number: 09-01178 Hearing Site: New Yori^, New Yorit Nature of the Dispute: Customer vs. Memt>ers and Associated Person REPRESENTATION OF PARTIES Claimant Christopher Carthew hereinafter referred to as

AWARD nNRA Dtepute Reeohrtion In theMelterof the Arblratlon Between: Name of Claimant Morgan Stanley & Co., Incorporated vs. Case Number 09-00312 Heering She: Kansas CHy, Missouri KeWiCJtadGBon MATHBgQPTHEDJgPUTB Member VS. Assodstad Person RgREBHffATlgN OF PfflTIH Morgan Stanley & Co., Inooiporated COaHnimnO XMA repieeented by Dtane C. Fischer, Esq.. Kane & Fischer, Ltd., a\)oa^, lUinds. Keith C. JadGBon rRespondenf) did not appear.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ciaimant Case Number: 09-04184 Derrick Nesbitt Respondents Hearino Site: San Francisco, Caiifbmia Menili Lynch, Pierce, Fenner & Smith Incorporated Frankle Laine Ross Nature of the Dlsputo: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Derrick Nesbitt, hereinafter referred to as "Ciaimanf: Brian K. Hllliard, Esq., The l^w Office of Bri

Award FINRA Dtopute Reaohrtion to ttie Matter of ttie Ari)itration Between: Ctahnante: Case Number 0^04008 waito Thayer, II Jantee E. TTiayer Respondento: Hearing SHa: Denver, Cotorado TD Ameritrade, Inc. The Bumey Company Bumey Partners, LLC LoweH D.Pratt Shefftoto C. Richey Keegan H. Davis Nature of the Dispute: Customers vs. Member, Assoctoted Person and Non-Members REPRESENTATION OF PARTIES Clalmanto, WHIto Thayer, II

Award FINRA Dteputo Reaolution In tiie Matter of the Arisitration Between: Names of the Claimante Case Number: 09-01300 James and Nancy Culp, individually and as Taistees of tiie James and Nancy Culp Family Tnjst dated 9/17/98 Name of the Respondent Hearing Site: Ortando, Florida Janney Montgomery Scott LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For James and Nancy Culp, individually and as Trustees of the J

AWARD FINRA DIaputo Resolution in the Matter of the Arbitration Between: Nanrw of Claimant James Russell Riley vs. Case Number 09-04748 iHearing Site: Louisvilte, Kentucky Name of Respondent U.S. Bancorp Investmente, inc. MATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES James Russell Riley ("Cialmanr) was represented by James P. McCroclclin, Esq., Louisville. Kentuclcy. U.S. Bancorp Investmente, inc. fR

AWARD FINRA Dispute RMolutlon In the Matter of the Arbitration Between: Name of Claimant David L. Roberts vs. Case Number 09-03951 •Hearing Site: Louisville, Kentucky Name of Respondent Raymond James Financial Sennces, Inc. MATURg OF THE DISPUTE Customer vs. Memt)er RgPRESgMTATIQM OF PARTIES David L. Roberts ("Cialmanr) was represented by John Sale Gordon. Esq., Gordon l.aw Offices, Owensboro, Kentuclcy. Raymond James Financial Se

Award FINRA Dtepute Reeolutlon In the Matter of the Ari^ttration Bebfveen: Claimant Case Number 09^748 James Dean Boyer Respondente Hearino Site: Reno. Nevada Wachovte Securities, LI.C Eric Stone Smtth Natore of the Dtopute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, James Dean Boyer, hereinafter refened to as "Ctelmant": Raw R. Goodenow, Esq., Pareons Behte & Latimer, Reno, Nevada. Respondente, Wach