AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eugene R. Marquardt vs. Case Number: 07-01543 Hearing Site: Cleveland, Ohio Names of Respondents KeyBanc Capital Markets. Inc. a/k/a McDonald Investments, Inc.. John L. Schlifer, Brian M. Brennan, KeyCorp, and Patricia J. Wyant MATURE OF THE DISPUTE Associated Person vs. Member, Associated Persons, and Non-Members REPRESENTATION OF PARTIES

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Joshua D. Rogers vs. Case Number: 07-03502 IHearing Site: Chicago, Illinois Name of Resoondent/Counter-Claimant Ameriprise Financial Services, Inc. NATURE OF THE DISPUTE Associated Person vs. Member ^REPRESENTATION OF PARTIES Joshua D. Rogers ("Claimant" or "Rogers") was represented by Troy C. Owens, Esq.. Owens & Laughlin, LLC

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Martcets, Inc. vs. Case Number: 08-00466 Hearing Site: Cleveland. Ohio Name of Respondent Thomas Anthony Banus Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Maricets, Inc. ("Claimant" or "Citigroup") was represented by Gregory B. Simon, Esq.. Kane & Fischer, Ltd., Chicago, Illinois. Thomas Anthony Banus

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley & Co., Inc. (Claimant) vs. Michael Desfor (Respondent) Case Number: 08-03446 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co., Inc., hereinafter referred to as "Claimant": Alan S. Brodherson, Esq.. Law Office of Alan Brodherson. New York, NY. Respondent Michael Des

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00564 Delores J. McCaslin (Claimant) vs. Wedbush Morgan Securities Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sterling, AK. For Respondent appeared Charles B. LaChaussee, Esq., Wedbush Morgan Securities, Inc., Los Angeles, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 26, 2009 CASE SUMMARY: Claimant asserted the following cause of action: unsuitability. The cause

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Sen/ices, Inc. (Claimant) vs. Robert Martin (Respondent) Case Number: 08-00523 Hearina Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer. Ltd., Chicago, IL. Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fordham Financial Management, Inc. (Claimant) vs. Larry Lubarsky (Respondent) Case Number: 09-00293 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Fordham Financial Management hereinafter referred to as "Claimant": Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhurst. NJ. Respondent Larry L

Award FINRA DIsputB Resolution In the Matter of the Arbitration Between: ABS Brokerage Services, LLC, Pro Securities, LLC, and ISERoute, LLC (Claimants) vs. Penson Financial Services, Inc. (Respondent) Case Number: 08-02357 Hearing Site: New York, New York Nature of the Dispute: Members vs. Member REPRESENTATION OF PARTIES Claimants ABS Brokerage Services, LLC ("ABS"), Pro Securities, LLC ("Pro"), and ISERoute. LLC ("ISER"), hereinafter collectively

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04954 CCO Investment Services Corp. (Claimant) vs. Mark James Minnucci (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared David M. Belcher, Esq., of the firm Belcher, Starr & Fitzgerald LLP, Boston, MA. Respondent did not submit, in a timely manner, an Answer to the Statement of Claim. Respondent's only response was a letter to the FINRA staff administrator and two affidavits received on June 9, 2009 wit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas Maoli (Claimant) vs. Morgan Stanley and Company. Inc., and Marc Eisner (Respondents) Case Number: 08-04083 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Thomas Maoli hereinafter referred to as "Claimant": Thomas M. Knepper, Esq., Knepper & Gladney. Georgetown, IL. Respondents Morga