Award FINRA Dispute Resolution in the Matter of the Arisftration Between: C. Albert Parente and Julia Parente (Claimante) v. Menill Lynch Pierce Fanner & Smtth, Inc. (Respondent) Case Number 09-01481 Hearing Stte: New Yoric. New Yoric Nature of the Dispute: Customers vs. Memk>er. REPRESENTATION OF PARTIES aaimante C. Albert Parente ("A. Parente") and Julia Parente ("J. Parente"), hereinafter collectively referred to as "Claimants": Kevin Galbraith. E

Award FINRA Dtoputo Reeolutlon In the Matter of ttie Aristtration Between: Name of ttw Claimant Case Number: 09-04514 Virginia Kaye Coriey Names of ttie Respondente Hearing Sfte: AUanta, Georgia Wachovto Securities. LLC Scott Alan Ttttte KathyDaisey Marie Moore Steve Keltoher Kim Thomas Kristin Sarafinis Luther Reames James Stentoy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PART

Award FINRA Dtoputo Reeohrtton In ttie Matterof ttie Artattratton BetMfeen: NamMofttwClatoiante £|S&Mym!2SC 08-04312 Esberaido Martinez and Olga M. Martinez Names off ttw Respondente H??lflnfl SWff; San Juan, Puerto Rico Cttigroup Global Mariceto, Ina Alberto Perez Nature of the Dispute: Customer vs. IMember and Associated Person. REPRESENTATION OF PARTIES For Esberaido Martinez and Olga M. Martinez, hereinafler collectively refened to as

Award RNRA Dtoputo Reeolutlon In ttie Matter of the Arbttratton Between: Names of ttie Claimanto Case Number 08-03677 Rose MIniaci as Trustee of the Rose Mlniad Revocabto Tnjst Beatriz Mlntod aa Tnjstee of ttie' Beatrtz Mlniad Revocable Tmat Dominick Miniad as Trustee of the Domintek Miniad Revocable Tnist Att)ert Mtolad as Trustee of ttie Albert Miniad Revocable Trust Paramount Vending, Inc. Nama of ttie Respondent Hearing Sfta

Awird RNRA Dispute RMolutlon In the Matter of the Artritration Between: NamegQfthaClaimantB Case Number: 08-00504 William D. Helton Steven D. Helton FredO.KeHy Wiliam F. MHIer, Jr. Names of the Respondents Hearing SHa: BInnlngham. AL Morgan Keegan & Co., Ina RMK Advantage Income Fund, Inc. RMK Strategic Income Fund, Ina RMK High Income Fund, Ina RMK MuM Sector High Income Fund, inc. Mofgan Asset Management, Ina Regions Fin

AWARD FINRA Dispute Reaoiution in the Matter of the Artsitration Between: Names of Claimante Alina Zaucha and Joseph Zaucha vs. Case Number 09-03076 i-learing Site: Chicago, Illinois Names of Respondente Raymond James Financial Services, Inc. and Michael S. Soleslcy NATURE QF THE 0I8PUTE Customera vs. Member and Associated Pereon REPRESEMTATIQM OF PARTIgfi Alina Zaucha and Joseph Zaucha ("Claimante'^ were represented by James J. Moyla

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Kelli Jo Chandler Korenek vs. Case Number: 09-01540 Hearing Stte: Houston, Texas Names of Respondente Stephens, Inc., James L. Korenek, and Richard Randolph 'Wick" Alexander NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESEMTATIQM OF PARTIES Kelli Jo Chandler Korenek ("Claimant") was represented by Broadus A. Sphrey, Esq.,

AWARD FINRA Dispute Resolution in the Matter of the Arii>itration Between: Name of Claimant Apfel Realty LLC vs. Case Number 07-03625 Hearing Site: Detroit, Michigan Names of Resoondente GunnAiien Financial, Inc.. Franic J. Bluestein, Maximum Finandai Group, Inc., and F.F., Ina MATURE OF-mgDiaPUTg Customer vs. Member, Non-Members and Associated Person REPRESEMTATIQM OP PARTIES Apfei Realty i±C ("Claimant^ was represented by Anthony V.

Award FINRA Dispute Resolution in the Matter of tiie Arbitration Between: Robert Stephen Willoughby (Claimant) vs. Sky Capital LLC (Respondent) Case Number: 09-02226 Hearina Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Memt>er. REPRESENTATION OF PARTIES Claimant Robert Stephen Willoughby hereinafter referred to as "Claimant": Jeffrey Shepro, Esq., Jeffrey Shepro P.C., New Yori«, NY. Respondent did not enter an appearance in

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Jeffry A. Wisnia IRA Account (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) Case Number 09-05048 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant JefFry A. Wisnia IRA Account hereinafter refened to as "Claimanf: Howard B. Prossnitz. Esq., Law Offices of Howard B. Prossnitz, Chicago, IL. Respondent M