Award FINRA Dispute Resolution in the Matter of the Arbitration Between: David Goldberg and Rosalind Goldberg (Claimants) v. Morgan Keegan & Company, Inc. and James C. Keisoe, Jr. (Respondente) Case Number 08-02985 Hearing Site: New Yori^. New Yori^ Nature of the Dispute: Customere vs. Member and Associated Person. REPRESENTATION OF PARTIES Clalmante David Goldberg ("D. Goldberg") and Rosalind Goldberg ("R. Goldberg"), hereinafter collectively referr

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Andrew McConneii (Claimant) vs. BNP Paribas Securities Corp. (Respondent) Case Number 08-02210 Hearino Site: New Yorit, New Yorl^ Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Andrew McConneli hereinafter rstened to as "Claimanf: Michael Schwartzberg. Esq., Winget, Spadafora & Schwartzberg. LLP, New Yori(, NY. Respondent BNP Parit>as Sec

AWARD FINRA Dleputo Reeolutlon In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 09-00064 Hearing Site: Cincinnati, Ohio Name of Respondent Thomas S. Widener NATURE OF THE DISPUTE Member vs. Associated Pereon REPRESEMTATIQM OF PARTIES Wachovia Securittes, LLC ("Wachovia") was represented by Greg Simone, Esq., Kane & Fisher, LTD, Chicago, Illinois. Thomas S. Widener ("Respondent")

AWARD FINRA Dispute Reeolutlon In the Matter of the Art)itration Between: Name of Claimant Baron V. Ritohie vs. Case Number: 09-01252 Hearing Site: Detroit, Michigan Names of Respondente Fidelity Brokerage Services, LLC and Jeffrey l^ee Rein NATURE OF THg DISPUTE Customer vs. Member and Associated Pereon Baron V. Ritchie ("Claimant") was represented by Phillip L. Stemberg, Esq., Couzens, L.ansky, Feaik, Ellis, Roeder & i.azar, P.C, Fa

AWARD FINRA Dispute Resolution in ttie Matter of the Arbitration Between: Name of Claimant Penson Finandai Services, Inc. vs. Case Number 09-01641 Hearing Site: Daltes, Texas Nsmes of Respondente Jesup & Lament Securities Corp. and Legent Clearing, LLC MATURE OF THgPiSPUTg Member VS. Membere RgpngSgMTATIQW OF PARTIES Penson Finandai Services, Inc. ("Claimant" or "Penson") was represented by Steven H. Thomaa, Esq., McGuIre, Craddoc

Award FINRA Dispute Resdutlon In the Matter of the Arbitration Between: Names of the Ciainwnts Caseijurnber 09-02695 Trini L. Thomas, Sr. Betty Thomas Names of the Respondents Hearing Site: Oriando, Ftorida Wofal OJu Off^ Todd A. Havemeister Ronald Eiger Donald A. Wojnowski, Jr. Eduardo IManuai Cabrera Jesup & Lament Securities Corp. Empire Financial Group, inc. Nature of the Dispute: Customer vs. Member and Associated Person.

AWARD FtNRA DISPUTE RESOLUTION CASE: 09-05207 Clarice E. Ujheiyi IRA, Clarice E. Ujheiyi Living Trust, Julius UJheIyi Living Trust and JuHus C Ujheiyi IRA vs. TD Ameritrede, Inc., Manuel Gonzalez, J.P. Morgan Securities, Inc. and Wells Fargo Banic REPRESENTATION OF PARTIES: Clarice E. Ujheiyi iRA, Clarice E. Ujheiyi Living Tmst, Julius Ujheiyi Living Trust and Julius C Ujhelyt iRA, hereinafter collectively referred to as "Claimants," appeared pro se. Res

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02776 H&R Blocl< Financial Advisors, Inc. Name of the Respondent Hearino Site: Washington, D.C. Brian Taylor Ainge Names of the Third Partv Respondents Charies A. Chambers Andrew M. Kistier, III Nature of the Dispute: Member vs. Associated Person and Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Jeremy Koch vs. Case Number: 08-04862 Hearing Site: Indianapolis, Indiana Name of Respondent NatCity Investments, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Jeremy Koch ("Claimant") was represented by James P. Baiter, Esq., Baker, Baicer & Krajewski, LLC. Springfield, Illinois. NatCity Investments, Inc.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: i Names of the Claimants Case Number: 08-01423 William Hamilton Smythe, 111, Individually; | William H. Smythe. IV Tmst U/A DTD 12/29/87. | William H. Smythe III. Trustee; and Smythe Children's Tmst #2 FBO Katherine S. Thinnes U/A DTD 12/29/87. William H. Smythe. 111. Trustee Name of the Respondent Hearing Site: Memphis, Tennessee i Morgan Keegan & Co