Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-04656 Citigroup Global Markets Inc. Respondent Hearing Site: Los Angetes, Callfbmia Michael A. Sheriff Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant. Citigroup Global Maricets Ina. hereinafter referred to as "Claimant": Manoj R. Andalkar, Esq. and Joe McCellan. Esq.. Alonso, Andalkar & Kahn, P.C.. New York

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04640 Richard Michael Lucas, Jr. Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley & Co.. Incorporated Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Richard Michael Lucas, Jr., hereinafter referred to as "Claimant": Curtis Carlson, Esq., Carlson & Lewittes, P.A., Miami, Florid

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03676 Mei-Fang Chan Names of the Respondents Hearing Site: Bimiingham, Alabama Hugh E. Parish Merrill Lynch. Pierce, Fenner & Smith, Incorporated Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mel-Fang Chan, hereinafter referred to as "Claimanf: Michael L. Haggard, Esq., Lamar. Mill

Award FINRA Disputs Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-01382 Kwen-Jen Chang Jane P. Chang Name of the Respondent Hearing Site: Raleigh, North Carolina UBS Financial Sen/ices Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Kwen-Jen Chang and Jane P. Chang, hereinafter collectively referred to as "Claimants": Andrew O. Whiteman, Esq.. Hartzell & Whiteman

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03558 Barbara Ballway, individually, and as Trustee of the Lorraine Berner Family Trust Names of the Respondents Hearing Site: Orlando, Florida Charles Schwab & Co., Inc. George Henry Meyerhoff, Jr. Washington Square Securities, Inc. ING Financial Partners, Inc. Nature of the Dispute: Customer vs. Member and Associated Person.

AWARD FINRA DISPUTE RESOLUTION in the Matter of the Arbitration Between: Ameriprise Advisor Services, Inc. vs. William A. Ferguson Case Number: 09-04965 SITUS: Raleigh, North Carolina NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: Ameriprise Advisor Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Respondent did not enter an appearance in this matter.

Award FINRA Dispute Resolution In the Matter of tlie Arbitration Between: Names of the Claimants Case Number: 08-01465 General Henry Cobb, Jr. Cobb Restaurant Group CiC Capital Management Company, LLC Cobb Investment Company, LLC CIC Financial Names of the Respondents Hearing Site: Bimiingham, Alabama Morgan Keegan & Company Joe Hamilton Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jay Lombard (Claimant) vs. GunnAllen Financial, Inc., and David Neil Soiferman (Respondents) Case Number: 09-04105 Hearina Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jay Lombard hereinafter referred to as "Claimant" appeared pro se. Respondent GunnAllen Financial, Inc. ("GunnAllen"): Jay Marc Israe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paulson Investment Company, Inc. (Claimant) vs. Christopher Wiseman (Respondent) Case Number: 09-04597 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATiON OF PARTIES Claimant Paulson Investment Company, Inc., hereinafter referred to as "Claimant": Richard J. Babnick, Esq., and Jonathan Kurta, Esq., Sichenzia Ross Friedman Ference L

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04950 Jean Ann Kenny (Claimant) vs. Russell Salerno and ICMA-RC Services. LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Storrs. CT. For Respondents appeared B. James Rohrbacher. ICMA-RC Services. LLC. Washington. DC. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: August 20. 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to execut