Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02669 Florence L. Campbell Butts Name of the Respondent Hearina Site: New Orieans, Louisiana Fifth Third Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Florence L. Campbell Butts, hereinafter referred to as "Claimant": Meredith A. Cunningham, Esq., Barasso Usdin Kupperman Freeman & Sarv

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the aain^ants Case Number. 08-00027 William A. Strong Genevieve H. Strong Betty Jane Strong The William A. Strong Family Limited Partnership LLLP The Strong Company. Inc. The Strong Company. Inc. Profit Sharing Plan The Strong Company, Inc. Retirement Plan William A. Strong GST Tmst William A. Strong GST Trust II William A. Strong Charitable Remainder Un

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Donato M. Giaquinto (Claimant) vs. Citigroup Global Marlcets Inc. (Respondent) Case Number: 08-01895 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Donato M. Giaquinto, hereinafter referred to as "Claimant": Donald P. Russo, Esq., Law OfTices of IDonaid P. Russo, Bethlehem, PA. Respondent Citigroup

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01320 The Benward Family Trust DTD 1/17/2000 (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 Poll< , Esq., Sutherland Asbill & Brennan LLP. Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: Marc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: A. Jeffrey Bauhaus (Claimant) vs. Adam Scott Goldman and Merrill Lynch Pierce Fenner Smith (Respondents) Case Number: 08-04434 IHearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant A. Jeffrey Bauhaus hereinafter referred to as "Claimant": Debra M. Brown, Esq., Brown & Associates. Beverly Farm

STIPUUVTED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley DW, Inc. vs. Case Number: 05-05083 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Mark Adam Battaline NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley DW, Inc. ("Claimant" or "Morgan Stanley") was represented by Ronald P. Kane, Esq., Diane C. Fischer, Esq.. and Thomas

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: l\^ichael Lewis (Claimant) vs. Nordic Partners, Inc., (Respondent) vs. Anders Lindquist (Third-Party Respondent) Case Number: 07-03536 Hearing Site: New Yorl< , New Yori^ Nature of the Dispute: Associated Person vs. Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Michael Lewis hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle and Robinson. L.

Award FINRA Dispute Resolution In the l\^atter of the Arisitration Between: Alex Orloff (Claimant) vs. Lazard Asset Management, LLC and Lazard Asset i^anagement Securities, LLC (Respondents) Case Number: 09-00982 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Alex Orloff hereinafter referred to as "Claimant": Ruthann G. Niosi, Esq.. New Yori^. NY. Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Suzanne Stadler-DVir, Stonehouse Equities, Inc.. and JTLG Corp. (Claimants) vs. Alice Jean Solomon and Timothy J. Daly (Respondents) Case Number: 08-03717 Hearina Site: New York, New Yori^ Nature of the Dispute: Customers vs. Associated Persons. REPRESENTATION OF PARTIES Claimants Suzanne Stadler-DVir ("Stadler-DVir"), Stonehouse Equities, inc. ("Stonehouse Equities"), and JTLG

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: American Stone, Inc. (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 09-01122 Hearing Site: New York. New Yori< Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant American Stone, Inc., hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway. New Yorl^. NY. Respondent Merrill Lynch, Pierce,