AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 09-03100 Hearing Site: Houston, Texas Name of Respondent Will T. Rogers NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Renan I. Sugarman, Esq., Renan Sugarman, P.C., Chicago, Illinois. Will T. Rogers ("Respondent")

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Keegan & Co., Inc. vs. Case Number: 09-02618 Hearing Site: Houston, Texas Name of Respondent Frederick H. Routon NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Keegan & Co.. Inc. ("Claimanf or "Morgan Keegan") was represented by Shea O'Brien Hicks, Esq., Morgan Keegan & Co.. Inc., Memphis. Tennessee.

Stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04195 SMIH Capital Inc. jMame of the Respondent Hearing Site: Boca Raton, Florida Alan Franic Pacella Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For SMIH Capital Inc., hereinafter refened to as "Claimant": Andrew R. Han/in. Esq., Doyle, Restrepo, IHarvin & Robbins, L.L.P., l-iouston, Texa

STIPULATED AWARD FINRA Dispute Resolution in the Matter of the Ari)itration Between: Name of Claimant/Counter-Respondent Morgan Stanley & Co. Incorporated (fomierly Morgan Stanley DW Inc.) vs. Case Number: 08-02415 Hearing Site: Milwaukee, Wisconsin Name of Respondent/Counter-Claimant Todd J. Funk Member vs. Associated Person Morgan Stanley & Co. Incorporated (formerly Morgan Stanley DW Inc.) ("Claimant" or "Morgan Stanley") was represent

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant A. Gary Kovacs vs. Name of Respondent LPL Financial Corporation Case Number: 08-01287 Hearing Site: Houston, Texas Associated Person vs. Member A. Gary Kovacs ("Claimant") was represented by Brian E. Bro, Esq., Law Offices of Brian E. Bro, Houston, Texas. LPL Financial Corporation ("Respondent") was represented by N. Nancy Ghabai, Esq. and David

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimants Gary Bamett Stephanie Barnett Name of the Respondents Gregory S. Garson Capital Partners, LLC First Allied Securities, inc. CPG Investments, LLP Kenneth Gordon, Jr. Name of the Counter-Claimants First Allied Securities, inc. Gregory S. Garson Name of the Counter-Respondents Gary Bamett Stephanie Bamett Case Number 06-04285

Award RNRA Dispute Resolution In the Matter of the Arbttration Between: Name of the Claimant Case Number 08^3424 Ronald L. Pelley Name of the Respondent Hearing Site: l^s Angeles, Califbmia Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Ronald L. Pelley, hereinafter refened to as "CiaimantT: Jonathan W. Evans, Esq. and Michael Edmiston, Esq., Jonathan W. Evans & Associates, Studio Cit

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04706 Dennis Dipple (Claimant) vs. Merrill Lynch. Pierce, Fenner & Smith, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Grand Forks, ND. For Respondent appeared Marcia W. Pratt, Esq., Maynard, Cooper & Gale, PC, Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 4, 2009 CASE SUMMARY: Claimant requested the following relief: consequential damages caused by inabi

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04322 Kevin D. Balsley (Claimant) vs. Garry Richard Nichols (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Richardson, TX. For Respondent appeared Courtney R. Reid. Esq.. Ameriprise Financial Services. Inc., Minneapolis. MN. NATURE OF DISPUTE: Customer v. Associated Person DATEFILED: July 18. 2009 CASE SUMMARY: Claimant asserted the following causes of action: unsuitability, unauthorized

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04172 Mustafa Amanatullah (Claimant) vs. TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Diego, CA. For Respondent appeared John L. Erikson, Jr.. Esq, Los Angeles, CA and Catherine L. Luth, Esq., TD Ameritrade, Inc., Omaha. NE. NATURE OF DISPUTE: Customer v. Member DATEFILED: July 10, 2009 CASE SUMMARY: Claimant asserted the following cause of action: negligence. Cl