Award FINRA Dtepute Resolutton In ttie Matter of the Arfottration Between: NgmeofttieCteknant Case Numfoer Qft^3228 H&R Stock Flnenctel Advisore, Inc. Ngme of ttie Respondent Heerino Stte: Nashvilte, Tennessee William Gregory Stonecker Natore of the Dtepute: Member vs. Associated Person. REPRESENTATION OF PARTIES H&R Stock Financtel Advisore, Inc.. hereinafler referred to as "Cteknanf: Edward A. Watton, Esq., Asstetent General Counsel, H&R St

Award FINRA Dtepute Resolution In tiie Matter of the Arbttration Between: Name of ttie Ctelmant Case Numfoer 08-04331 CIHford 6. Lea Name of the Respondent Hggring?tte; Tampa, Ftorida Morgan Keegan & Company, Inc. Nature of the Dtepute: Customer vs. Member. REPREffiNTATW N QF PAIITIE9 For Clttford G. Lee, hereinafter referred to as "Cteimanf: Defora Brewer Hayes, Esq., The IHayes Lam Finn, P.C., Houston, Texas. For Morgan Keegan & Company

Award FINRA Dispute Rssolirtlon In the Matter of the Art>itratton Between: NameofthftCtolmant Case Number 08-01981 Wachovte Securities, LLC Name of the Respondent Hearing Site: Rateigh, North Carolina Timothy M.WIHIams Naturs of the Dtepute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovte Securities, LLC, hereinafter refened to as "Ctelmanl^: Jonathan E. Levine, Esq., Ftore & Levtoe, PLLC, Arilngton, Virginie and Scott J.

AWARD FINRA Dtepute Resolution In the Matter of the Arbitration Between: Name of Claimant Chadd Edtein vs. Case Number 09-04470 Hearing Site: Dallas, Texas Name of Respondent Fklelity Brokerage Sennces, LLC NATURE QF THE PISPUTE Customer vs. Member REPRESENTATION QF PARTIES Chadd Edtein f Claimanr) appeared pro se. Fidelity Brokerage Sen/ices, LLC ("Respondent" or "Fidelity") was represented by Paula McManus, Esq., Fidelity Invest

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimante William A. LipinskI, Individually and as Trustee of the William A. LipinskI Tmst U/A/D 6/23/97 and Judy A. Liplnski IndlvkJually and as Trustee of the Judy A. LipinskI Trust DTD 6/23/97 vs. Case Number. 09-03365 Hearing Site: Chicago, Illinois Names of ResDondente Stifel, Nkx>laus & Company, Inc. and Donakj Meyer MATURE OF THFDiaPUTF Cu

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06124 Richard Royce Palmer IRA (Claimant) vs. Edward D. Jones & Co., L.P., and Carl Kirby Morrison (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Richard Royce Palmer, El Cajon, CA. For Respondents appeared Paul Foster, Esq., Des Peres, MO and Dennis J. Capriglione, Esq., Edward D. Jones & Co.. LP., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: October 22

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Green Family Holdings, LLC (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-02243 Hearino Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Green Family Holdings, LLC ("Claimant"): Stephen Hochhauser, Esq., Bertine, Hufnagel. Headley, Zeltner, Drummond & Dohn. LLP, Scarsdale, NY. Respondent Citigroup

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Pagan l^on Miller vs. CaseNuml>er 08-05005 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Wachovia Securities, LLC I^TURE OF THE DISPUTE Customer vs. Memt>er Publte Arbitrator Pitot Program/All Publk; Panel REPRESENTATIQW OF PARTIES Fagon Ladon Miller ("Claimant") was represented by Randall K. Cah»rt Esq., Calvert l-aw Fimn, Oklahom

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Marcus Profit Sharing Pian, Marcus Kappei & Co. 401K, and Janet Marcus (Ciaimants) vs. UBS Financiai Services, inc. (Respondent) Case Number 08-04212 iHearino Site: New Yoric, New Yori« Nature of the Dispute: Customers vs. Member Pubiic Arisitrator Pilot Program/Aii Pubiic Panei REPRESENTATION OF PARTIES Ciaimants David Marcus Profit Sharing Ran ("Marcus Pian"), Marcus Kap

Award FINRA Disputo Resolution in the Matter of the Arbitration Between: Peter A. Lombard (Claimant) vs. Jeffries & Company, Inc. and Jeffries Group, Inc. (Respondente) Case Number 09-03441 Hearino Site: Boston, Massachusette Nature of the Dispute: Associated Person vs. Member and Non Member. REPRESENTATION OF PARTIES Claimant Peter A. Lombard hereinafter referred to as "Claimant": Howard I. Elman, Esq., Matalon Shwelcy Elman PLLC, New Yoric. NY.