Award FINRA Dispute Reaolutlon In ttie Matter of the Arbttration Between: Name of ttie Claimant Case Number 08-00632 Eiizabetti K. Rtohert Names of ttie Respondente Hearina SHe: Mtomi, Ftorida Next Financial Group, Inc. Brookshire Securities Corporation Thomas Ruggtoro Peter Chung Natore of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elizabeth K. RIchert, hereinafter refened to as "Ctoimant"

Award FINRA Dteputo Reaolutlofi In ttie Matter of ttie Artittration Between: WamaoffttwCtotoiant Case Numt>er. 0M6704 Beja Rnance International Name of ttie Reapondent Hearing SHe: Miami, Ftorida RBC Dain Rauscher fonneriy Tucker Anthony. Inc. Natore of ttie Dtopute: Customer vs. Member. REPRESENTATION OF PARTIES For BeJa Finance Intemattonal, hereinafter refsrred to as "Ctoimanf: Robert L Schenk, III. Esq.. Caneraa & Lemoine, LLP, Attant

Award FINRA Dteputo Reeolutlon In ttie Matter of ttie Ari>ttratton Between: Name of the Claimant Case Number 09M209 The Estate of Philip Greenbaum Name of the Respondent Hearina SHe: Boca Raton, Florida Citi Smtth Barney a/Ma Citigroup Gtobal Maricete Inc. Nature of the Dtopute: Customer vs. Member REPRESENTATION OF PARTIES For The Estate of Philip Greenbaum, hereinafter referred to as "Claimanf: Adam Doner, Esq., Gordon & Doner, P.A., Pa

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Art)ifration Between: Marilyn Hazell vs. Peak Securities Corporation, Kari H. Wolf and David Dube Case Number 09-05643 SITUS: Oriando, Florida NATURE OF DISPUTE: Customer vs. Member Tenninated and Associated Person. REPRESENTATION OF PARTIES: For Marilyn Hazell, hereinafter referred to as "ClaimanT: Nicholas D. Thomas, Esq.. Vero Beach, Ftorida. For Respondent Kari H. Wolf fWolT): Michael S. Lament,

Award FINRA Dtopula Reaohidon In the Matter of the Arbitratton Between: NameoftheCteimant CaS&NUQSSZfiC 0M3354 Chrtotlna Adter-Carhart NannaaQfthaReaDondente HWrinflSWg; Orlando, Florida Melante S. Sweet Rayntond Jamea Financial, Inc. MetLlfeSecurWes,lnc. Nandy Serrano Nature of the Dispute: Customer vs. Member and Asaodaled Person. REPRE WNTATWN PF P^CTE? For Christina Adier-Carharthereinafler referred to as "CtalmanT: Patrick Richmo

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07030 Florence Isham (Claimant) vs. J.J.B. IHiliiard, W.L. Lyons, LLC, James Stoctcman, Kelli (Fredericic) Popp, and Fredericic Stephen Duncan (Respondente) REPRESENTATION OF PARTIES: For Claimant appeared Fred S. Claric, Esq.. Claris and Clark, Savannah, GA. For Respondente J.J.B. IHiliiard, W.L. Lyons, LLC, James Stod^man, and Kelli (Frederick) Popp appeared J. Curtis McCubbin, Esq.. J.J.B. IHiliiard, W.L. Lyons, LLC

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: James Shuel (Claimant) vs. Wachovia Securities, LLC and Michael Ceccon (Respondente) Case Number: 09-04887 Hearing Site: Boston, Massachusette Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant James Shuel hereinafter referred to as "Claimant": Thomas H. Tuclter, Esq., Law Offices of Thomas H. Tucicer, Duxbury, MA. Responden

AWARD FINRA Dteputo Reeolutlon In the Matter of the Arbitration Between: Names of Claimante Anna Rasmussen, individually and as Next Friend of Taylor Marie Rasmussen, Robert Jack Rasmussen, and Samuel Robert Rasmussen vs. Case Number: 08-02958 Hearing Site: Chicago, Illinois Names of Respondente LPL Financial Corporation, John W. Donaklson, and Professional Wealth Management, Inc. MATURg OF TH^ DISPUTE Customers vs. Member, Associ

STIPULATED AWARD FINRA Dteputo Resolution In the Matter of the Arbitration Between: Names of Claimante Mary Ann Prela)sovlch, Trust, Mary Ann Prel(osovlch, Trustee, and Mary Ann Prelcosovich IRA vs. Case Number 09-01730 Hearing Site: Chicago, Illinois Names of Respondente Charies Schwab & Co., Inc. and Kimon P. Daifotis MATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Mary Ann Prekosov

AWARD FINRA DIeputo Reaolutlon in the Matter of the Artsitration Behween: Names of Claimante Scott H. Shufbrd and the King Imevocable Heirs Tmst 11 vs. Case Number 09-02063 Hearing Site: Dallas, Taxes Names of Respondente Morgan Keegan & Company, Inc., James C. Kelsoe, Jr., and Dennis J. Devaney MATURg OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Scott H. Shufbrd and the King Irrevocable