Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 06-05227 AIG Financial Advisore. inc. a/k/a Sagepoint Financial inc. Respondent Hearing Site: Phoenix. Arizona Tracy B. Seegott Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant. AIG Financial Advisors. Inc.. a/k/a Sagepoint Financial Inc.. hereinafter referred to as "AIG" or "Claimant": Diana McMonagie, Esq.,

AWARD FINFtA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jeffrey A. King vs. Case Number 09-02125 IHearing Site: Southfieid, Michigan Name of Respondent Fifth Third Securities, Inc., a FINRA Member Finn MATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Jeffrey A. King ("Ciaimanr) was represented by Eric S. Richards, Esq.. and Brian Andrew, Esq.. Mlica Meyere Beclcet & Jones, PLC,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Angelaln Logglns and Dwayne Logglns vs. Case Number 09-00652 IHearing Site: Detroit, Michigan Names of Respondent Meniii Lynch Pierce Fenner & Smith, Inc., and Patrick T. Buschmohle, Jr. THE DISPUTE Customere vs. Member and Associated Person Angeiain Logglns and Dwayne Logglns ("Claimants") were represented by Anthony V. Trogan, Esq.. Anthony V

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bruce James Rogovin vs. Case Number: 08-02905 IHearing Site: Cincinnati, Ohio Names of Respondents Charies Schwab & Co.. inc., Schwab Investments, Charles Schwab investment Management. Inc., and Robert Edward Lewandowski NATURE OF THE DISPUTE Customer vs. Member. Associated Person, and Non-Member REPRESENTATION OF PARTIES Bmce

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George L. Rioseco, DOS (Claimant) vs. Gabelli & Company, Inc., GAMCO Investors. Inc., d/b/a Gabelli Asset l\1anagement Company, Inc., John Gabelli and Daniel L. Lofrese. Jr. (Respondents) Case Number: 08-04965 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Persons. REPRESENTATION OF PARTIES Claimant George Rioseco, DDS her

Award FINRA Dispute Resolution In tiie Matter of the Arbitration Between: Estate of Raymond H. Casteliano, IVIary M. Castellano as Executrix (Claimant) vs. Jason L. Mieras, Lawrence J. Mieras, and American Portfolios Financial Services, Inc. (Respondents) Case Number: 08-03527 Hearing Site: Philadelphia, Pennsylvania Nature of tiie Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Estate of Raymond H. Castellano,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Upper & Company, L.P., Upper & Company, Inc., Kenneth Lipper, and Lipper Partners, L.P. (Claimants) vs. Richard A. Williamson, as Successor Liquidating Trustee on behalf of Lipper Convertibles, L.P. (Respondent) Case Number: 07-03139 Hearing Site: New Yori^, New York consolidated with Richard A. Williamson, as Successor Liquidating Tmstee on behalf of both Lipper Convertibles, L

Award FINRA DIepufs Resolution In the Matter of the Arbitration Between: Nameoftheplaimant Case Number: 09-00260 Timothy Leahy Name of the Respondent Hearino Site: Orlando. FL Charles Schwab &Co., Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Timothy Leahy, hereinafter refened to as 'CiaimanT: Melanie S. Cherdack, Esq., Genovese Jobiove & Battista P.A., Miami, FL For Charles Schwab & Co., Inc. ("S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02294 Morgan Keegan & Company Inc. Name of the Respondent Hearino Site: Little Rock, Arkansas MaryM.Whfte Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Company Inc., hereinafter referred to as "Clalmanf: Colleen Fitzgerald, Esq. and Shea O'Brien Hicks, Esq.. Morgan Keegan & Company

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02246 Oppenheimer & Co., Inc. (Claimant) vs. Jeffrey C. Finder (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diana Sur, Esq., Oppenheimer & Co., Inc.. New York, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 22. 2009 CASE SUMMARY.' Claimant asserted the following cause of action: breach of promissory note. Claim Dat