AWARD FINRA DISPUTE RESOLUTION CASE: 09-01073 Banc of America Investment Services, Inc. (Claimant) vs. Dean S. Matthews (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diane C. Fischer, Esq., Kane & Fischer, Ltd.. Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 26. 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to honor

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Andrew Prophet (Respondent) Case Number: 08-04338 Hoarlrw Site: Hartford, Connecticut Nature of the Dispute: Member vs. Associated Person. BEPRESaiTATONflE f< ^RTIi§ Claimant Banc of America Investment Services, inc., hereinafter referred to as "Qaimant*: Diane C. Fischer, Esq.. and D. Daxton White. Esq., Kane &

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02219 Morgan Keegan & Co., Inc. (Claimant) vs. Victor G. Harberson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William McCourt Schmitt, Jr., Esq.. Morgan Keegan & Co., Inc., Memphis. TN. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: f^emberv. Customer DATE FILED: April 20, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. Th

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00638 Nancy C. Wood, Trustee (Claimant) vs. Bill Kearney, Steven Neibert, Merrill Lynch, Pierce, Fenner & Smith, Inc., and Michael Phillip (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Camarillo, CA. For Respondents appeared Eric J. Glassman, Esq., Mennemeier, Glassman & Stroud, LLP, Sacramento, CA. NATURE OF DISPUTE: Customer v. Associated Persons and Member DATE FILED: February 2. 2009

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03409 Sherry Seidman Names of the Respondents Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. James C. Kelsoe, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sherry Seidman, hereinafter referred to as "Claimant": Adam J. Gana. Esq.. Napoli. Bern Ripka, LLP, New York

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01377 Wachovia Securities, LLC (Claimant) vs. Hayato Tamura (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Micliael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent appeared pro se, Santa Ana, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 13, 2009 CASE SUMMARY: Claimant asserted the following cause of action: debt owed pursuant to terms of CF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-03126 Jerry L. Maye and Rita H. Maye Name of the Respondent Hearing Site: Charlotte, North Carolina Legacy Financial Services, Inc. Name of the Third Party Respondent Mark David Gandossy Nature of the Dispute: Customer vs. Member vs. Associated Person. REPRESENTATION OF PARTIES Claimants Jerry L. Maye and Rita H. Maye, hereinaft

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00727 Morgan Stanley & Co., Inc. (fbnnerly Morgan Stanley DW Inc.) Name of the Respondent Hearing Site: Little Rock, AR Randy S. Koontz Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley & Co., Inc. (formerly Morgan Stanley DW Inc.) ("Morgan Stanley"), hereinafter refened t

Awaixl FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08- 01982 Lany W. Papasan Living Trust DTD 2/11/02, Larry W. Papasan and Dianne M. Papasan, TTEES Name of the Respondent Hearino Site: Memphis, Tennessee Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Larry W. Papasan Living Trust DTD 2/11/02, Lany W. Papasan and Dianne M.

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Summit Brokerage Services, Inc. Respondent Gregory Kinkead Case Number: 09-00074 Hearino Site: Las Vegas, Nevada Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Summit Brokerage Services, Inc. hereinafter referred to as "Claimant": Gary Menzer. Esq., Summit Brokerage Sen/ices, Inc.. Boca Raton, Florida. Respo