AWARD FINRA DISPUTE RESOLUTION CASE: 09-01155 William E. Busse and Kelly A. Busse, JTROS (Claimants) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se. Oro Valley, AZ. For Respondent appeared John Bersin. Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: February 25, 2009 CASE SUMMARY: Claimants asserted the following causes of action: negligence, breach of f

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04024 R.A. Hamerly A.I.A. Architect, Inc. (Claimant) vs. Sherman Jason Niamehr, John Joseph Conroy. and New Castle Financial Services. LLC (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Randall A. Hamerly, Highland, CA. For Respondent New Castle Financial Services, LLC appeared John J. Gulino, Esq., Anaheim, CA, and Brett D. Zinner. Esq., Brett D. Zinner. P.C.. Uniondale. NY. Respondents Sherman Jas

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-01491 Michelle Bensimon (Claimant) vs. Morgan Keegan & Company Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Dunlap, Jr.. Esq., James A. Dunlap Jr. & Associates LLC. Atlanta, GA. For Respondent appeared Rebecca L. Burnaugh. Esq.. and S. Lawrence Polk. Esq.. Sutheriand Asbill & Brennan LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 17. 2009 CASE SUMMAR

Award FINRA Disputo Resolution in Uie Matter of the Arbitratton Between: Ciaimant Case Number 08-04148 Morgan Steniey & Co. incorporated Respondent Hearing Site: Phoenbc, Arizona Charles E. Buckhannon, ill Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Steniey & Co., incorporated, hereinafter referred to as "Claimant": Donald B. Wallace, Esq., St. John, Wallace, Brennan & Foian LLP, Torrance, Ca

Award FINRA Disputo Resolution in the Matter of the Arbitration Between: Name of the Claimante: Case Number 08-01841 Isaac Applbaum, individually and as Tmstee of The Applbaum Family Taist UAD 06/01/93 Hikia Applbaum, IndMdually and as Tnjstee of The Applbaum Family Trust UAD 06/01/93 Name of the Respondent: Hearing Site: San Francisco, Califomia Stone & Youngberg, LLC Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Clai

stipulated Award FINRA Dispute Rasolutlon In the Matter of the Arbitration Between: Name of the Claimants Case Numtwr 07-03391 Sami Maywood. M.D. DawnMaywood Name of the Resoondents Hearing Site: San Diego, Califbmia J. P. Tumer & Company, L.L.C. Michael L. Rose RoGco G. Guidicipietro Michael S. Berteietti and Robert A. Guidicipietro Name of the Cross-Ciaimant J. P. Tumer & Company, L.L.C. Name of the Cross-Respondent Mich

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ciaimant Wells Fargo Investments. LLC Respondent Kendall C. Blunt Case Number 08-00064 Hearing Site: Portland, Oregon Counter-Claimant Kendall C. Blunt Counter-Respondent Wells Fargo Investments, LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member RgPRgSENTATH Claimant/Counter-Respondent Wells Fargo Investments,

AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Richard E. l^ofTitt vs. Case Number: 09-00905 Hearing Site: Detroit, Michigan Names of Respondents Investors Capital Corporation, Adam J. Spero, and Anthony J. Urrico Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Richard E. Moffitt ("Claimant") was represented by Anthony V. Trogan, Esq., Law Offices of Anthony V. Trogan. PL

AWARD FINRA Dispute Resoiution In the flatter of the Arit}itratJon Between: Name of Claimant Josephine L. DesParte vs. Case Number: 09-00572 Hearing Site: Chicago, lllinols Names of Respondents William Blair & Company, LLC, William IHarold Ross, and Brian Lance Kasal NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Josephine L. DesParte ("Claimant") was represented by Andrew Stoitmann, Esq

Case Number 08-05006 IHearing Site: Kansas City, Missouri Consolidated with: Case Number: Og-00234 i-iearing Site: Kansas City. Missouri Customer vs. Member Ishmaiia G. Loum ("Claimant" or "Loum") appeared pro se. Zecco Trading, Inc. ("Respondent" or "Zecco") was represented by David L. Stanton, Esq., and Ester K. Yeu, Esq., Pillsbury Winthrop Shaw Pittman, LLP, Los Angeles. Califomia. Case# 08-05006 The Statement of Claim was filed on or about Decem