Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 08-03113 Banc of America Investment Sen/lces, Inc. Name of the Respondent: Hearing Site: San Francisco, Calitomla Jason J. Rok)erte Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Sen/ices, Inc. hereinafter referred to as "Claimant": D. Daxton White. Esq., Kane & Fischer,

Award FINRA Dispute Reaolution In tiie Matter of the Arbitration Between: Claimant Case Number 08-00775 Horace Grant Respondent Hearing Site: Los Angeles. California Morgan Keegan & Company Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Horace Grant, hereinafter referred to as "Claimant": Andrew Stoltmann, Esq., Stottmann Law Offices, P.C, Chicago. Illinois. Respondent. Morgan Keegan & Company Inc., he

Award FINRA Diapute Reeolutlon In the Matter of the Arbitration Between: Name of the Ciaimante Victor Chang, Indh^lduaily and on behalf of tiie Victor Chang Charies Schwab & Co.. Inc. Oust IRA Rollover Case Number 08-02417 Name of the Respondent Charies Schwab & Co., inc. Hearing Site: Los Angeles, Califomia Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Victor Chang, individually CV. Chang") and on behalf

stipulated Award FINRA Diapute Reaolution In the Matter of the Art>ltration Between: Name off the Claimant Case Number 07-01890 Wachovia Securities. LLC Name off the Respondent Hearing Site: Portland, Oregon Michael J. MInervini Name off the Counter-Claimant MichaelJ. MInervini Name off the Counter-Respondent Wachovia Securities. LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF

Award FINRA Diapute Reaolution In the Matter of the Arbitration Between: Claimants Case Number 08-02307 Raymond Kelly Elsie Kelly Raymond O's Kelly & Elsie M.Ke U/A dtd 05/27/05 Raymond O's Kelly Rev Liv Trust U/A dtd 05/27/05 Raymond O's Kelly & Elsie M.Ke U/A dtd 05/27/05 Respondent Hearing Site: Reno, Nevada Charies Schwab & Co., Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants. Raymond Kelly

Award FINRA Dispute Resolution In the Matter of the AriJitration Between: Names of the Claimants Case Number: 08-01068 Joyce Wilfbng Maxine Street Name of the Respondent Hearinc Site: Memphis. Tennessee Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Joyce Wilfong ("Wilfong") and Maxine Street ("Street"), hereinafter collectively referred to as "Claimants": Dale Ledbetter, Esq., Ledb

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael P. Quinn vs. Case Number: 08-01536 Hearing Site: Chicago, Illinois Names of Respondents Lisa Julin, Bnjce & Gwendolyn Julin, and Michael & Marilyn McEvoy NATURg OF Associated Person vs. Customers Michael P. Quinn ("Claimant") was represented by Jeffrey T. Rogg, Esq., Miller, Canfield, Paddock & Stone, PLC, Detroit, Michigan

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Lou C. Soldato f/k/a Mary Lou Cammire vs. Case Number: 08-02472 Hearing Site: Chicago, Illinois Names of Respondents FSC Securities Corporation and Joseph S. Fabian and Name of Cross-Claimant FSC Securities Corporation vs. Name of Cross-Respondent Joseph S. Fabian NATURE OF THE DISPUTE Customer vs. Member and Associated P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Carol Dahl and Citicorp Investment Services (Claimants) vs. Michael M. Miley (Respondent) Case Number. 08-00640 Hearing Site: New York, New York Nature of the Dispute: Associated Person and Member vs. Customer REPRESENTATION OF PARTIES Claimants Carol Dahl ("Dahl") and Citicorp Investment Services ("Citicorp"), hereinafter collectively refeoed to as "Claimants'*: David Butler, E

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01953 Summit Brokerage Services, Inc. (Claimant) vs. Brad Nussbaum (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Chantel Grant. Esq., Summit Brokerage Services, inc., Boca Raton, FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 9, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of Licensee a