AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James E. Czyz vs. Names of Respondents Milestone Financial Services. Inc. and Penson Financial Servk^s, Inc. and Name of Crass-Claimant Penson Financial Services. Inc. vs. Name of Cross-Respondent Milestone Financial Services, Inc. Case Number. 08-02022 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Customer vs. Members R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-03370 Percy Dover Percy Dover, IRA Karen Dover Karen Dover, IRA Name of the Respondent Hearing Site: Memphis, Tennessee Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Percy Dover, Percy Dover, IRA, Karen Dover, and Karen Dover, IRA, hereinafter referred to as "Clai

Award FINRA Dispute Resolution In the l^atter of the Arbitration Between: Claimant Case Number 08-03055 Pope Resources, a Delaware Limited Partnerehip ResEwndent Hearina Site: Seattle, Washington Credit Suisse Securities (USA) LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Pope Resources, a Delaware Limited Partnerehip. hereinafter refened to as "Claimant": Martin S. Slegel, Esq., Brown Rudnlcic LLP, New Yo

Award FINRA DisputB Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-00764 Kenneth G. Langone, Jr. Respondent Hearing Site: Phoenix, Arizona Morgan Stanley & Co., Incorporated Nature of the Dispute: Customer vs. Member Public Art)itrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES Claimant. Kenneth G. Langone, Jr., hereinafter referred to as "Claimant": Marie D. Lammere, Esq., DeConcini McDon

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Claimant Case Number 08-00818 Susan Ure Respondents Hearing Site: San Francisco, California ING Financial Advisers. LLC ING Life Insurance and Annuity Company Counter-Claimants ING Financial Advisers, LLC ING Life Insurance and Annuity Company Counter-Respondent Susan Ure Nature of the Dispute: Associated Person vs. Member and Non-Member Member and Non-M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-01272 Curley L. Bernard Gregory B. Bonnett Judy F. Casey Linda S. Coriey David C. Gallien Michael D. Gilcrease Gordie Greening. Jr. Billy W. House Roger F. House George Reed Terry Respondents Hearina Site: Dallas, Texas InterSecurities, Inc. Gregory James Hildebrand Peter E. Dahlstrom James P. Gouldman Nature

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02787 Rolling Shield Parts, Inc. Jose Delgado Name of the Respondent Hearina Site: Miami, Florida Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Memk}er. REPRESENTATION OF PARTIES For Rolling Shield Parts, Inc. ("RSP") and Jose Delgado ("Delgado"), hereinafter collectively referred to as "Claimants": Lawrence A. K

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Elizabeth Dankman Names of the Respondents Brookstreet Securities Corp. Clifford Popper Stanley Clifton Brooks and Scott Stanley Brooks. Individually and as Trustees of the Brooks Family Trust National Financial Sen/Ices, LLC Norman Robert Malo Ellyn McColgan Ted Nelson Case Number: og-02500 Hearina Site: Boca Raton, Florida Natur

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03942 Nicholas M. Loeb Name of the Respondent Hearina Site: Boca Raton, Florida Lawrence Paul Caplan Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Nicholas M. Loeb, hereinafter referred to as "Claimant", appeared pro se. Lawrence Paul Caplan, hereinafter referred to as "Respondent", appeared pro se.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Andrew Michael Krynik vs. Case Number: Og-00503 Hearing Site: Dallas, Texas Names of Resr)Qndents H&R Block Financial Advisors, Inc. and Julie Veiseh Customer vs. Member and Non-Member REPRESENTATION QF PARTIES Andrew Michael Krynik ("Claimant") was represented by David C. Gunn. Esq., Law Office of David C. Gunn, Baytown, Texas. H&R Block Fin