AWARD FINRA DISPUTE RESOLUTION CASE: 09-02527 Frances Meyers (Claimant) vs. Wachovia Securities, LLC (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Howard Meyers. Esq.. New York Law School Legal Services, Inc., New York, NY. For Respondent appeared Brent J. Burtin, Esq , Wells Fargo Advisors, LLC. St. Louis. MO. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 5, 2009 CASE SUMMARY: Claimant asserted the following causes of act

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Karen Muto Kennedy, Simplified Employee Pension Account, Karen Muto Kennedy. Tmstee of Managed Account, Karen Muto Kennedy, Roth IRA Account, and Karen Muto Kennedy, Trustee RMA Account vs. Case Number. 08-03766 IHearing Site: Chicago, Illinois Name of Respondent UBS Financial Sen/ices, Inc. Customers vs. Member Karen Muto Kennedy, Simp

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants RMD Family Ltd. Partnership, The Robert J. Rotenberg 2002 Irrevocable Trust, and Tonka Lai^es LLC vs. Names of Respondents Deutsche Bani^ Securities, Inc. and Deutsche Bank Alex. Brown Case Number: 08-02240 IHearing Site: Minneapolis, Minnesota 'E DISPUTE Customers vs. Member and Non-Member REPRESENTATION OF PARTIES RMD Family Ltd. Part

Award FINRA Dispute Resolution in the IVIatter of the Arbitration Between: Robert Irvine Logan (Claimant) vs. EKN Financial Services, Inc., and Anthony Amos Inkumash (Respondents) Case Number: 09-00228 Hearing Site: New Yori^, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Robert Irvine Logan hereinafter collectively referred to as "Claimant" appeared prose. Respondents EKN Financial S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The David & Catherine Moussazadeh Family Foundation (Ciaimant) vs. Goldman Sachs & Co. (Respondent) Case Number: 09-00599 Hearino Site: New Yorit, New Yort< Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant The David & Catherine Moussazadeh Family Foundation hereinafter referred to as "Claimant" appeared David Moussazadeh. Respondent Goldman Sach

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Prestige Financial Center, inc., Costa Tzotzis, and Darin i-iaines (Claimants) vs. Nile Management Leasing Corp. (Respondent) Case Number: 08-04541 Hearing Site: New Yorlt. New Yori^ Nature of the Dispute: Member and Associated Persons vs. Customer. REPRESENTATION OF PARTIES Claimants Prestige Financial Center, Inc. ("Prestige"), Costa Tzotzis ("Tzotzis"), and Darin i-laines ("i

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dr. Anthony A. McPhenDn and Specialty Orthopedics, Inc. vs. Case Number: 07-02841 IHearing Site: Chicago, Illinois Names of Respondents Midland National Life Insurance Company, Sammons Securities Company, LLC, investment Planners, Inc., Jay Jensen and Duane Doroh and Name of Third-Partv Claimant Investment Planners, Inc. vs. Name of

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Betty J. Gunn vs. Case Number: 07-00768 Hearing Site: Chicago, Illinois Names of Respondents Edward D. Jones, LLP and Jonathan A. Zulauf NATURE PF THE PI8PVTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Betty J. Gunn ("Claimant" or "Gunn") was represented by Richard B. Fosher, Esq., SimmonsCooper, LLC. East

AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Solaris Opportunity, LP vs. Case Number: 08-01533 (Hearing Site: Chicago, Illinois Names of Respondents Penson Financial Services. Inc. and Philip A. Pendergraft and Counter-Claimant Penson Financial Services, inc. vs. Counter-Respondent Solaris Opportunity, LP NATURE OF THE DISPUTE Customer vs. Member and Associated Person RE

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 09-02556 Hearing Site: Des Moines, Iowa Name of Respondent Frederick Scholer NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Renan Sugarman. Esq., Renan Sugarman, PC, Chicago, Illinois. Frederick Schole