Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: TD Ameritrade, Inc. (Claimant) vs. David D. Lu (Respondent) Case Number: 09-04798 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant TD Ameritrade, Inc., hereinafter referred to as Claimant": R. Matthew Ingraham. Esq., TD Ameritrade. Inc., Bellevue, NE Respondent David D. Lu hereinafter referred to as "Respondenf d

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04373 James R. Burns, IRA (Claimant) vs. Morgan Keegan & Company, inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Duniap, Jr., James A. Dunlap Jr. & Associates LLC, Atlanta, GA. For Respondent appeared John-Davki H. Thomas, Esq., Bass, Berry & Sims PLC, Nashville, TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 23, 2009 CASE SUMMARY; Claimant asserted the following cau

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peabody House Company Limited Partnership (Claimant) vs. Citigroup Glot)al Markets. Inc. d/b/a Smith Bamey (Respondent) Case Number. 09-01066 Hearino Site: Boston. Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Peabody House Company Limited Partnership ("Claimant^): Kevin S. Murphy, Esq.. Yurko, Salvesen & Remx, P.C.. Boston, MA. Pre

AWARD RNRA Diepute Reeolutlon in the Matter of tiie Art)ltration Between: Names of Clalmante Gerald Adkins and Gerald Adkins as Trustee of ttie Gerald Adkins Inevocable Trust vs. Case Number. 08-04863 Hearing Site: Ijouisvilte, Kentucky Names of Resoondente Morgan Keegan and Company, inc. and Robert S.EIItott NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Geraki Adkins and Geraki Adk

Award FINRA Dteputo Reeolulion in ttie Matter of the Arbttration Between: Cteimante: Case Number 09-03020 Richard Brown Bartiara Czencz David Kinard Donna Kinard Gordon Lotehult PhylKsLotehutt Adam Lundquist Robert D.McKlntey Davkl Minor Lindsay E. Morisse Packer Family Trust dtd February 24,1983 James R. Pardee Candtee Puiilam Jerry PuHiam Carol Puiitem Sharon Rankin Steven M. F^teese Julte R. Reese

Award FINRA Dteputo ReeoluSon In ttie Matter of the Arbitration Between: Cteimant/ Counter-ReaDondent AG. Edwards & Sons, Inc. Reapondente Michael Chris Ntelsen Use A. Evans Hert)ertC.Key8er,lil Donsid L. Johns Christopher S. Dralw Stifel, Nicolaus & Company, inc. Counterelalmant/ Third Party Cteimant Michael Chris Nteteen Gene Michael Dtedrich lAtechovte Securities, LLC Case Number. 07-02954 Hearing Site: San Francisco, C

Award FINRA Dteputo Reeoluflon In ttie Matter of the Art)itration Between: Cteimant Case Number. 09-03050 Shan Ral Kumar RasDondent Hgarjrig ?Hft; Seattte, Washington Ameriprise Financial Services, inc. Ameriprise Financial Sen/lces, inc Counter-Respondent Shan Ral Kumar Nature of the Dispute: Associated Person vs. Member Member vs. Associated Person REPRESENTATION OF PARHES Cteimant/Counter-Reapondent, Shan Ral Kumar, hereina

Award FINRA Dteputo Reaolution in the Matter of the Arisitratton Between: Name of the Cteimante C^&Jsmrn&fiEL 09-03250 Waiter Cote and Antoinette Cote JTTEN NameoftheReaoondente Hwrirw gite; Los Angetes, Califomta WMIs Fargo invesbnente, LLC Michael James McGraw Nature of the Diepute: Customers vs. Member and Associated Person RePRESeHTATWH OF P AHTIF? Clalmante, Walter Cote and Antoinette Cote JTTEN, hereinafter referred to as 'Cteimante

Award FINRA Dispute Resolution in the Matter of the Arisitration Between: Names of the Clalmante Case Number: 09-01532 J.P Morgan Securities, inc. J.P. Morgan Chase and Company Names of the Resoondente Hearing Site: New Orieans, l^uisiana Wachovia Securities, LLC Kevin F. Knobloch Shaun A. Bums James A. Poche Nature of the Dispute: Member and Non-Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For J.P Morgan Sec

Award FINRA DIeputo Reeolutlon In the Matter of the Art>itration BeNveen: Name of the Claimant Case Number. 09-01713 Mery Jo Buchanan Name of the Respondent HWPnfl git?: Boca Raton. Florida Ljeumi Investment Servicee, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Mary Jo Buchanan, hereinafter referred to as "Clalmantr: Marc S. Dobin. Esq. and James Duffy, ^. , Marc S. Dobin, P.A., Jupiter, Florida.