Award FINRA Dteputo Resolution In ttie Matter of ttie Arbitration Between: Cteimante Case Number. 08-04049 Nornian Christiansen Elten Christianaon Respondente Hearing Site: Denver, Cotorado Morgan Keegan & Company, inc. William F.Wolbrecht Morgan Asset Management, Inc. RMK Multi-Sector High Income Fund, Inc. RMK Setect High Income Ctesa-A Nature of the Dispute: Customers vs. Member, Assodated Person, and Non-Members REPRESENTATION

Award FINRA Dteputo Resolution In the Matter of the Arbitration Behiveen: Cteimant Case Number 08-04373 Marina Braun Respondente Hearing Site: Portiand, Oregon Wachovte Securities, LLC Julian Albert Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Marina Braun, hereinafter referred to as "Cteimant": Justine Fischer, Esq., Justine Fischer Attomey at Law, Portiand, Oregon. Respondente,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Nurriber: 09-02992 Martin J. Fischer Respondente Hearing Site: Reno. Nevada Edward Jones and Company Joseph Henry Lushina Third Party Clalmante Edward Jones and Company Joseph Henry Lushina Third Party Respondent Andrea Fischer Nature of the Dispute: Customer vs. Member and Associated Person Member and Associated Person vs. Customer REPR

Award FINRA Dteputo Resolution In the Matter of the Arbitretion Between: The Maximillian H. Miltzlaff Revocable Trust, Christlen A. Ducicer TTEE (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number: 09-02255 Hearing Site: New Yori(, l^ew Yori( Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant The Maximillian H. Miltzlaff Revocable Tmst, Christien A. Ducker TTEE hereinafter referred to as "Claimanf: Richard

stipulated Award FINRA Dispute Resolution In tiie Matter of the Arbitretion Between: Wachovia Securities, LLC (Claimant) v. Mare CapKal, LLC and Ronald Feldstein (Respondente) Case Number: 09-02035 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter refened to as "Claimant": Joel E. Davidson, Esq. and Carios Ricca, Esq., Davidson & Grennum LLP, Orange

Award FINRA Dispute Resolution In the Matter of the Artiitratlon Between: Andrew L. Kaye (Claimant) vs. CIBC Worid Maricete Corp. (Respondent) Case Number 08-04141 Hearing Site: New Yoric. New Yori< Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Andrew L. Kaye hereinafter refened to as "Claimant": Jeffrey L. Llddie, Esq., Michael Grenert. Esq., and Sherry Shore. Esq., Llddie & Robinson, L.L.P., New Yoric, NY.

Award FINRA Dteputo Resolution In the Matter of the Arbitration Between: Ralph Joel (Claimant) vs. Eisensteric Advisory, Inc. and Jay Elsensterk (Respondente) Case Number: 08-00486 Hearing Site: Newaric, New Jersey Nature of the Dispute: Customer vs. Non-Members REPRESENTATION OF PARTIES Claimant Ralph Joel hereinafter referred to as "Claimanf: Paul F. Carvelli, Esq., McCusker, Anselmi, Rosen & Carvelli, P.C. Respondente Eisensteric Advisory, Inc. ("

AWARD FINRA DIepute Reaolution In tiie Matter of tiie Art)ttratton Between: Names of Clalmante Elizabeth O, Austin, Indivtoually and as Co-Tmstee of the Elizabeth O. Austin Trust, and Mary E. Woods, as Co-Trustee of ttie Qizabeth O. Austin Trust vs. Case Number 09-02518 Hearing Stte: Kansas Ctty, Mtesouri NameofReapondent Cttigroup Gtobai Maricete, Inc. NATURE OF THgMSPUTE Customers vs. Member REPRESEMTAT1QM OF PARTIES Elizabe

Award FINRA Dteputo Resolution In the Metterof the Ari£>ttratton Between: Name of ttie aaimant Case Number. 08-01962 Edtth M. Vogelhut, as beneflclery of ttie Bemard 1. Posner Tmst Names of ttie Respondente Hearing SHe: Miami. Ftorida Menlll Lynch Menill Lynch Bank & Tmst Co., FSB Names of ttie Third Party Respondente Martin Posner Leslte Posner Nature of the Dispute: Customer vs. Non-Member and Member vs. Customer. REPRESENTATION

AWARD FINRA Disputa Resolution In the Matter of the Arbitration Between: Name of Claimant Joseph M. Fischer Trust a/k/a Joseph M. Fischer Revocable Living Trust, Joseph M. Fischer, Trustee vs. Case Number 09-00482 Hearing Site: Detroit, Michigan Name of Respondent Citigroup Global Maricets, Inc. a/k/a Smith Bamey MATURE OF THE DISPUTg Customer vs. Member REPRESENTATIOM OF PARTIES Joseph M. Fischer Trust a/k/a Joseph M. Fischer Revocab