AWARD FINRA Dispute Resolution In the Matter of the Arbttration Between: Names of Clalmante Kevin D. Wagner, Sandra M. Wagner, and Martin Wagner vs. Case Number 09-05663 Hearing Stte: Detrott, Michigan Names of Resiwndente GunnAltan Financial, inc., Questar Capttai Corporation, Maximum Financial Group, inc. d/b/a Maximum Financial Group, and Frank J. Biuestein NATURE OF THE DISPUTE Customere vs. Membera, Non-Member, and Associ

Stipulated Award FINRA Dtoputo RMolutlon In the Matter of the Arbitration Between: NameoftheCiaimant Case Number 09-04975 Morgan Kaegan & Company. Ina f^lfflneoftheReaPondent Hw^lnggitg; Atlanta, Georgia Jason K. Adams Nature of the Dispute: Member vs. Assodatad Person. REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc., heralnafler rsferred to as 't^laknant^ Wiiiiam McCourt Schmitt, Jr., Morgan Keegan & Co., Ina, Memphm, Tennessee.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: TD Ameritrade, Inc. (Claimant) v. Nancy H. Frain (Respondent) Case Number: 09-03884 Hearing Site: Boston, Massachusetts Consolidated with TD Ameritrade, Inc. (Claimant) v. William F. Frain (Respondent) Case Number: 09-03885 Hearing Site: Boston, Massachusetts Nature of the Dispute: 09-03884: Member vs. Customer 09-03885: Member vs. Customer REPRESENTATION OF PARTiES

Award FINRA Dtepute Resolution in the Matter of the Art)itration Between: Name of ttie Claimant Case Number: 09-03990 Kajeet, Inc. Name of the Respondent Hearing Site: Battimore, Maryland UBS Financial Services Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Kajeet, Inc., hereinafter referred to as "Claimant": Gregory T. Lawrence, Esq., Conti Fenn & i^wrence LLC, BaltimoFe, Maryland. For UBS Financial Sen/ic

Stipulated Award FINRA Dispute Resolution In Uie Matter of the Arfortration Between: Name of the Claimant Case Number: 09-03614 Curtis Pilot Names of the Respondents Hearina Site: Bimiingham, Alabama Citigroup Global Markets, Inc. Salomon Smith Barney Morgan Stanley Smith Bamey Webb Hutchings Radcliff Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Curtis Pilot, hereinafter referred to a

Award FINRA Dispute Resolution in the Matter of the Artstoatton Between: Rohan Russell (Claimant) vs. NorUigate Securities, Inc. (Respondent) Case Number 09-00329 Hearing Site: Buffeio, New Yoric Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Rohan Russell hereinafter referred to as "Claimanf appeared pro se. Respondent Northgate Securities hereinafter referred to as "Respondent^: Kenneth C. Coun^ilie, Esq., Law Office

Award nNRA Dtepute Reeohillon In ttie Matter of the Artxtratton Between: Claimant Case Number 09-04019 Marcte Baker Resoondente Hearing Stta: Seattte, WMitogton Gtobal Trading Group, Ina Wlltem Savary Nature of the Dlaputo: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Marda Baker, heretoafter referred to as "Claimanr: Al Van Kampen, Esq.. LMT Offloes of Rohde & Van Kampen PtIX:. Seattto, Washington. Re

Award FINRA Dtepute Reedutton In the Metier of the Arbttration Between: SlaimaOt Caaa Number 09-0B74B John J. Tennant Jr. Respondent Hearino Site: Portland, Oregon Raymond James Financtel Services, Inc. Nature of tho Dispute: Customorv. Member REPRESEMTATIOM OF PARTlEa Claimant John J. Tennant Jr., hereinafter referred to as "Claimanf: Pro Se. Portiand, Oregon. Respondent Reymond James Financial Services, Ina, hereinafter referred to as

Award FINRA Dtepute Reeolution In the Matter of the Ariaitration Between: Claimant Case Number: 09-03508 Wells Fargo Investmente. LLC Respondent Hearing Site: Los Angeles. Califomia Noyeg Aricoian Nature of the Dispute: IMember vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Investmente, LLC, hereinafter referred to as "Claimant": Jin-Ho Chung. Esq., Kane & Fischer, Lto., Chicago, Illinois Respondent, Noyeg Aricoian,

Award FINRA Dispute Resolution In the Matter of the Arbibation Between: Names of the Claimants Case Number 09-03317 l^bert J. tHager Bart)ara J. Hager Name of the Respondent Heerina Site: Tampa, Florida Menlil Lynch. Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert J. Hager and Barbara J. Hager, hereinafter ooilecttvely referred to as "Claimants': Robert K. Savage, Esq., The Sav