Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul Gauthier and Sharon Gauthier (Claimants) vs. Morgan Keegan & Company, Inc., and James C. Kelsoe, Jr. (Respondents) Case Number: 08-03472 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATiON OF PARTIES Claimants Paul Gauthier ("P. Gauthier") and Sharon Gauthier ("S. Gauthier'), hereinafter collectively refen

AWARD FINRA DIeputo Resolution In the Matter of the Ariaibation Between: Name of Claimant Anna Breach vs. Caae Number 08-01503 Hearing Site: Debolt Michigan Names of ResDondente Rrst Republto Group, LLC, Tom Kelly, Eric Henry, and K & H Partnere MATURE OF THE DISPUTF Customer vs. Member, Associated Persona and Non-Memt)er REPRESEMTATIOM OF PARTIES Anna Breach ("Clalnuint") was reprssented by Anthony V. Trogan, Eaq., Anthony V. Tro

Amendad Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00068 Marilyn Rosov, Trustee Marilyn Rosov Revocable Tmst Name of the Respondent Hearing Site: Boca Raton, FL Citigroup Global Maricete Inc. Nature of the Dispute: Customer vs. Member. Public Ariaitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES For Marilyn Rosov, Trustee, Marilyn Rosov Revocable Trust,

Amended Award FINRA Diaputo Resolution In the Matter of the Arbitration Between: Names of the Claimante Case Number: 09-00626 Paul Christensen The Christensen Family I LTD Christensen Enterprises Paul Christensen as Tmstee over the Elizabeth Christensen Tmst Paul Christensen as Tmstee over the Paul E. Christensen Family Tmst Name of the Respondent Hearing Site: Oriando, FL Merrill Lynch, Pterce, Fenner & Smith Inc. Natore of the D

AMENDED AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Northern Oil and Gas, Inc. vs. Case Number: 08-04398 Hearing Site: Minneapolis, Minnesota Name of Respondent UBS Financial Sen^ices, Inc. NATURE OF THE DISPUTE Customer vs. Member Public Art)itratDr Pilot Program/All Public Panel REPRESENTATION OF PARTIES Northern Oil and Gas, Inc. ("Claimanr) was represented by Matthew T. Boos, Esq. and

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Henry Bendikian and Sheila Bendiician (Claimants) vs. Morgan Stanley & Company, Inc. (Respondent) Case Number. 08-04177 Hearing Site: Boston. Massachusetts Nature of the Dispute: Customers vs. Member. Public Arbitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES Claimants Henry Bendikian ("H. Bendikian") and Sheila Bendikian ("S. Bendikian"), herein

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04871 Rongli Gui and Deming Fu (Claimants) vs. Wells Fargo Advisors. LLC and James Hietpas (Respondents) REPRESENTATION OF PARTIES: Claimants appeared pro se, New London, Wl. For Respondents appeared Demian J. Betz, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 5. 2009 CASE SUMMARY: Claimants asserted the fbilowing cause of act

Award FINRA Dispute Reeolution In the Matter of the Arbitration Between: Timothy John Holt (Claimant) vs. M. J. Whitman LLC (Respondent) Case Number: 09-01446 Hearina Site: New Yori«, New Yori^ Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Timothy John Holt hereinafter referred to as "Claimanf: John D. Singer, Esq. and Michael C. Deutsch, Esq., Singer Deutsch LLP, New Yortc, NY. Respondent M. J. Whitman LLC h

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Augusto H. Andrade, Jr. and Maria A. Andrade (Ctaimante) v. Michael Ewanouski and Wachovia Securities. LLC (Respondents) Case Number: 07-01706 Hearina Site: Boston, Massachusette Natore of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimanto Augusto H. Andrade, Jr. ("A. Andrade") and Maria A. Andrade ("M. Andrade"), hereinafter collective

Award FINRA Dteputo Reeolution In ttie ^Mbe^ of the Artittration Between: Name of ttie Ctelmant Case Number 00-00267 Jo Ann W&ggoner Tmst dated 04^24/1996 Name of ttie Raaoondente Hearing Site: Loe Angeles, CelHbmta Rtehard Aten Mechikoff The Sekiter Companies Incorporated Natore of the Dtepute: Customer vs. Member and Associated Person REPRESEMTATION OF PARTIES Ctelmant, Jo Ann W^oner Trust deled 04/24/1996, herekiafter iBfemed to es