stipulated Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 08-02890 Larry E. Weicht, II Name of the Respondent Hearina Site: Tampa, Florida Banc of America Investment Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Claimant Larry E. Weicht, II: V. Stephen Cohen, Esq., Williams Schifino Mangione & Steady, P.A.. Tampa, Florida until on o

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03738 Edward J. Schiavi (Claimant) vs. Southwest Securities, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Christopher M. Moody, Esq., Moody & Warner. P.C, Albuquerque, NM. For Respondent appeared Eric R. Hail, Esq.. Hunton & Williams LLP, Dallas, TX. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: June 16, 2009 CASE SUMMARY: Claimant asserted the following cause of action: expun

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01321 Robert Benward Roth/IRA and Robert Benward (Claimants) vs. Morgan Keegan & Company Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates LLC. Atlanta. GA. For Respondent appeared Rebecca L. Burnaugh, Esq., and S. Lawrence Pol)< , Esq., Sutherland Asbill & Brennan LLP. Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED

Award Data Award: $5,000.00 Award: $82.00 Award: $40.00 Interest: at the rate of nine percent (9%) per annum from February 9. 2009 to the date of payment of the award Costs: $750.00 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 $5,000.00. 2) Respondent is liable for and

Amended Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04333 Robert W. Baird & Co., Inc. Names of the Respondents Hearing Site: Fort Lauderdale, Florida Robert S. Gesdorf Bradford K. I^^arshall Thomas M. Palmer Shelagh M. Stewart Nature of the Dispute: l\/1emb6r vs. Associated Person. REPRESENTATION OF PARTIES For Robert W. Baird & Co., Inc., hereinafter referred to as "Cl

Award FiNRA Dispute Resolution In the Matter of the Arbitratton Between: Name of the Claimant Case Number 08-02990 George Kostuch, Jr. Names of the Respondents Hearing Site: New Orieans, Louisiana Morgan Keegan & Company, Inc. James C. Kelsoe Regions Financial Corporation RMK Advantage Income Fund, Inc. RMK Strategic Income Fund, Inc. RMK High Income Fund, Inc. Morgan Asset Management, Inc. MK Holding, Inc. Nature of the Dispu

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 08-03262 Jose Oriando Moscoso Aguirre Williams Baina Antezana Names of the Respondents Hearing Site: Oriando, FL Orion Trading, LLC, a/k/a Brokeriatino.com Michael A. Zurita Hector J. Gallardo Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jose Oriando Moscoso Aguirre and Willia

Award FINI^ Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 08-04147 Citigroup Global Mari^ets. Inc. d/b/a Smith Barney Name of the Respondent Hearina Site: Cleanwater, FL Michael Pels Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Mari^ets, Inc. d/b/a Smith Barney ("Citigroup"), hereinafter refen^d to as "Claimant": Erin E. Mac Avoy, Esq.

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Ameriprise Advisor Services, Inc. vs. Case Number. 09-00550 Hearing Site: Chicago, Illinois Name of Respondent William Clayton Stroup Member vs. Associated Person Ameriprise Advisor Services, Inc. ("Claimant") was represented by Ronald P. Kane, Esq. and D. Daxton White, Esq., Kane & Fischer, Ltd., Chicago, Illinois. William Clayton Stroup ("Responde

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John Nicholas Pollard. Individually and as Co-Executor of the Estate of Jane Thomason Pollard. Deceased. Pursuant to Her Last Will and Testament dated October 13,1995; Also as Attomey-ln-Fact for Catherine C. Etheridge Case Number: 08-02916 Appointed March 1,2006; Mary Elizabeth Pollard, Hearing Site: Dallas. Texas Individually and on Behalf of the Mar