Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04636 STG Realty Corp. Name of the Respondent Hearina Site: Boca Raton, Florida Raymond James & Associates, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For STG Realty Corp., hereinafter referred to as "Claimant": David A. Weintraub, Esq., David A. Weintraub PA, Ft. Lauderdale, Florida. For Raymond Ja

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-03347 Margaret G. Carglll Revocable Tmst Names of the Respondents Hearing Site: Tampa, Florida Harbor Financial Sen/ices, LLC Cohen Investment Management, Inc. Michael A. Cohen David D. Cohen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Margaret G. Cargill Revocable Trust, here

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Paul Hollingsworth and Alma F. Hollingsworth, as Tmstees for the Hollingsworth Family Trust, Alma F. Hollingsworth, for her IRA, and Paul Hollingsworth, for his IRA vs. Case Number: 08-00674 Hearing Site: Cincinnati, Ohk) Names of Respondents Morgan Keegan & Company, Inc. and Regions Financial Corporation NATURE OF THE PISPUTE Customers vs.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Larry Myhre, Edmund O. Templeton, Gerald Tahtinen, Dennis and Heidi Sparacino, Heidi Sparacino, IRA, Bartlett and Doris Richards, Gerald and Nancy Dassow, Indlvidually and as Trustees of the Gerald and Mary Dassow Trust, Shirley Wong, Administrator of the Shirley Wong Profit Sharing Trust, OADS, Inc.. Bonnie Meyers, Individually and as Trustee of the Bonni

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Trinity United Methodist Church vs. Case Number: 07-02960 Hearing Site: Cleveland, Ohio Names of Respondents Allegheny Investments, LTD and George B. Frantz, III Customer vs. Member and Associated Person Trinity United Methodist Church ("Claimant") was represented by Thomas C. Wagner, Esq., Van Duesen & Wagner, LLC, Cleveland, Ohio. Allegheny Inv

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02764 Martha Tice Bourie (Claimant) vs. Davenport & Company, LLC and Lisa Kern (Respondents) REPRESENTATION.OF PARTIES: Claimant appeared pro se. Earlysville. VA. For Respondents appeared Brian A. McCormack, Esq.. Davenport & Company, LLC, Richmond, VA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 13, 2009 CASE SUMMARY: Claimant alleged that Respondents liquidated her holdings

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03739 John Koehler (Claimant) vs. Pruco Securities, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared p/io se, Crawfordsville. IN. For Respondent appeared Sari M. Alamuddin. Esq., Morgan. Lewis & Bockius, LLP, Chicago. IL. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: June 22, 2009 CASE SUMMARY: Claimant asserted the following cause of action: expungement. Claim Data Award Data

Award Data Award: 522,720.43 Interest: at the rate of six percent (6%) per annum from April 9. 2009 to November 10. 2009 Attorneys" Fees: SO.OO Costs: 5525.00 Other: $0.00 AWARD: The undersigned arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant compensatory damages of S22.720.43. 2) Respondent is liable for and shall pay to

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03778 W&S Brokerage Services, Inc., wholly-owned subsidiary of Western-Southern Life Assurance Company (Claimant) vs. Kevin C. Mannor (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared David E. Theurich, Esq.. Western & Southern Financial Group, Cincinnati, OH. For Respondent appeared Robert D. Mannor. Esq., Mannor Law Office. P.C.. Grand Blanc. Ml. NATURE OF DISPUTE: Member v. Associated Person

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sensual Fashions. Inc. (Claimant) v. Wedbush Morgan Securities Inc. (Respondent) Case Number: 09-01152 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Sensual Fashions, Inc., hereinafter referred to as "Claimant": Michael Perugini, President, Sensual Fashions, Inc.. Wolcott, CT. Respondent Wedbush Morgan Securiti