Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nameoftfieaaimant Case Number 09-03657 Toshk) Nakano and Chie Nakano. as Trustees of The Toshk) and Chto Nakano Living Tmst Names of tiie Rftaoondante Hearing Site: Baltfmore, Maryland Wedbush Morgan Securities, Inc. Richard A. LannI Name of ttw Third Party Respondent Milton Rei MiyauchI Nature of the Dispute: Customer vs. Member and Associated Person vs. Associated

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Garry Hodgin vs. Case Number 08-03702 Hearing Site: Omaha, Nebrasica Names of Respondents Whitelcer Securities LLC, Yousef Saijooici a/l(/a Joe SaQooki, Thomas E. O'Neill, Michael S. Segal, and Pershing LLC MATURE OF THE DISPUTE Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Garry Hodgin (Xlaimanr) was repres

Award FINRA Diepute Resolution In the Matter of the Art)itration Between: Frank Kulbacki (Claimant) v. Citigroup Global Markets, Inc.. Legg Mason Wood Walker, Inc., and Robert Thomas Phillips (Respondents) Case Number. 09-03310 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Memt>ers and Associated Person. REPRESENTATION OF PARTIES Claimant Frank Kulbacki hereinafter refen^d to as "Claimant": Coming GIbbs, Esq., Law Offic

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Roger Gimbel (Claimant) vs. Stephen DeGroat and Jesup & Lamont Securities Corp. (Respondents) Case Number: 08-04709 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Roger Gimbel hereinafter referred to as "Claimant": Arthur M. Handler, Esq., Mound Cotton Wollan & Greengrass, New York, NY.

AWARD FINRA Dispute Resolution In the Matter of the Artsitration Between: Name of Claimant Phillip A. Wells vs. Case Number 09-02537 Hearing Site: l^uisviile, Kentucky Name of Respondent UBS Finandai Services, Inc. NATURE OF THE DISPUTE Customer vs. Memt>er REPRESENTATION QF PARTIES Phillip A. Welte ("Claimanf') appeared pro se. UBS Financial Services, inc. ("RespondenT) was represented by John O. Murphy, Esq., UBS Financial Senri

AWARD FINRA Dispute Resolution In the Matter of the Arisltratton Between: Names of Claimante John Rausch and Diane Zodlkoff vs. Case Number 08-01369 Hearing Stte: Cincinnati, Ohio Names of Resoondente H&R Biocic Financial Advisors. Inc. n/k/a Ameriprise Advisor Services. Inc. and Robert B. Bilo NATURE OF THE DISPUTE Customers vs. Memt)er and Associated Person REPRESENTATION QF PARTIES John Rausch ("Rausch") and Diane Zodilcoff ("Z

Award FINRA Dteputo Resolution In ttie Matter of ttie Art>ttration Between: Name of ttie Claimant Case Number. 09-03321 UBS Financtel Sen/ices, Inc. Name of tiie Respondent Hearing Stte: Boca Raton, Ftorida Richard Lee Nature of the Dispute: Member vs. Associated Person. For UBS Financial Sen/ices, Inc., hereinafter rafjerred to as "Cteimanf: Michael Sten, Esq. and Anttiony J Borrelli, Esq., RUcer, Danzig, Scherer, Hyland & Perrettt, LLP, Mor

Award FINRA Dtopute Reeoluflon In ttie Matter of the Arbitratton Between: Name of ttie Claimant Case Number: 09-01964 Davkl P. Meyers Name of ttie Respondent hWnng gife Atiante, Georgte Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For DavM P. Meyers, hereinafter refened to as "Claimant": J. Pat Sadler. Esq.i Sadter & Hovdesven, PC, Atiante, Georgia. For Morgan Keegan & Company, Inc.,

Award FINRA Dtoputo Reeohttfcm In the Matter of ttie Arisltration Between: ItoneaofttieClalmante Caae Number 09-05164 Jerome M. Christenson and Gloria T. Christenson. individually, and Jerome M. Christenson, IRA beneficiary Name of ttie Respondent Hearing Site: Nashvilte, Tennessee Morgan Keegan & Company, Inc. Nature of ttie Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jerome M. Christenson and Gtoria T. Christenson, Indiv

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Annette Smith, individually and on behalf of Annette Smith individual Retirement Account, Donald L. Smith, individually and on behalf of Donald L. Smith SEP and Individual Retirement Account (Claimants) vs. RBC Capital Markets Corporation and Alan A. Coolc, II (Respondents) Case Number 09-02687 Hearino Site: Rochester, New Yori^ Nature of the Dispute: Customers vs. Member and Associ