stipulated Award FINRA Dteputo ReeoluBon In the Matter of the Arbitration Between: hlyne of the Cteimant Case Number 09-00740 Royel Allience Associates, Inc. rfff mes of the Resoondente Hearing Site: AManteGeomia Chariee Stevena and Darin Stevens Natore of the Dispute: Memt>er va. Aasociated Person. REPRESENTATION OF PARTIES For Royal Alltence Aasociates, inc., hereinafter referred to as "Claimanf: Thomas Campbell, Esq., Smith Cempbeii, LLP.

AMrard FINRA Dteputo Reaolutlon In the Matter of the Arfoitratton Between: Names of the Ctelmante Case Number. 0M3418 Natelte Schwarz, IndlvlduaHy, and aa Trustee of the Residuei Taist U/W/O Nomfian Schwarz and the Natelte Schwarz Trust Name of the Respondent Hearlno Site: Boca l^aton, Ftortda Sanford C. Bernstein & Company. LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PAICTIES For Natelte Schwarz, Individually, a

Award RNRA Dtepute Reeoliitlon In the Matter of the Arbitration Between: Names of the Ctelmante Case Number 0&O4672 Ian Knight Ian Knight Individual Retirement Ian Knight SEP IRA Namea of ttie Resoondente Hearing Site: Washington. D.C. I.ara, Shull & May, LLC Frank TaytorShull, IV Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ian Knight, Ian Knight Individual Retirement and Ian Knight

Award FINRA Dteputo Resolutton In the Matter of the AriMtration Between: NameoftheCtelmant Case Number 08-04592 Thomas DIBenedetto rteme of the Respondent Hearing Site: Tampa, Florida UBS Flnanctei Services Inc. Natore of ttie Disputo: Customer vs. Member. REPRESENTATION OF PARTIES For Thomas DIBenedetto, hereinafter rafaned to as "Cteimant": Richard A. Roth, Esq., The Rott) Law Firm, PLLC, New Yoric, New Yoric. For UBS Rnanctel Servloes

Award FINRA Dtoputo Resolution in ttie Matter of the Art)itratton Between: Name of ttie Claimant CflW Nurplpy; 08-04902 Mary Hart Davis Names of ttie Rasoondent s Hearing Site: Jedcson, Mississippi Morgan Keegan & Company, Inc. Morgan Keegan Select Fund, Ina Morgan Asset Management, Inc. Regions Ftoanctal Corporation MK Holding, ln& James C. Kelsoe. Jr. Aten J. Ferguson Lynn T. Shaw Natore of the Dispute: Customer vs. Member.

Stipulatod Awaid FINRA Dtoputo Reeolutlon In the Matter of the Ariattration Between: Names of the Claimante Eugene O. Jones Joy F. Jones N^rpe? 9f thg RWPOnjent? Advanced Rarmlng Securities, Inc. Ctiaries C. Slowey. Jr. Edward D. Puttick. Sr. Case Number 08"00082 Heerino Site: New Orieens. Loulsisne Nature of the Dispute: Customer vs. l\Aember and Associated Person. REPRESENTATION OF PAWnES For Eugene O. Jones and Joy F. Jones, herein

Award FINRA Dispute RMolutf on In the Matter of the Art>ttration Between: Names of the Clainnants Case Number: 08-03012 Tracy H. Scruggs Andrew C. Scruggs and Tracy H. Scruggs NameoftheRasDondent Hearing Site: Nashvffle. Tennessee Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTiES For Tracy H. Scruggs. Andrew C. Scnjggs and Tracy H. Scnjggs. hereinafter collectively refennsd to as Claim

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04191 Paul Taylor (Claimant) vs. E^Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Managua, Nicaragua. For Respondent appeared Meredith A. Feide, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 13, 2009 CASE SUMMARY: Claimant alleged that Respondent owes him money sent to open an account. ARBITRATOR'S REPORT: THIS

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04979 Joseph D. Mason and Marian B. Mason (Ciaimante) vs. Lawrence N. Passaretti (Respondent) REPRESENTATION OF PARTIES: Ciaimante appeared pro se, Boynton Beach, FL. For Respondent appeared Jessica F. Longobardi, Esq., Wilson, Elser, Mosl^owitz, Edelman & Dicker LLP, White Plains, NY. NATURE OF DISPUTE: Customers v. Associated Person DATE FILED: August 21, 2009 CASE SUMMARY: Ciaimante asserted the followin

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05195 Edward Biliig (Claimant) vs. Michael Howard Rosenmayer, Gregory Baines Iglow, RBC Capital Marinate Corporation, and Oppenhelmer & Co. Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Westlalce Village, CA. For Respondente Michael Howard Rosenmayer, Gregory Baines Iglow, and RBC Capitei Markete Corporation appeared Abe Lampert, Esq., Law Offices of Abe Lampert, P.C., San Francisco, CA.