Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimants Case Number: 08-00658 Jonatiian N. Home JPH Enterprises, LLC Patricia Home, Individually and as Trustee of the Vance B. Forsgren Family Trust Respondents Hearing Site: Salt Lalte City, Utah Investment Management Corporation Kevin D. Kunz Albert Alvey Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Numt)er 08-00200 Banc of America Investment Services, Inc. ResDondent Hearina Site: Reno, Nevada Timothy N. Hartman Counter-Claimant Timothy N. Hartman Counter-Respondent Banc of America Investment Services, Inc. Third-Partv Claimant Timothy N. Hartman ThIrd-Partv Respondents Steve R. Russell Crystal Masset Bank of America Corporatio

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04984 Alan Schaer and Julie Schaer as Trustees of the Schaer Trust U/A DTD 03/10/2006 ("Claimants") vs. Charles Schwab & Co.. Inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared Mamie C. Lambert, Esq., David P. Meyer & Associates Co., LPA, Columbus, OH. For Respondent appeared Evelyn A. Christensen, Esq.. Keesal, Young and Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATE F

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00442 Rohan Russell ("Claimant") vs. Northgate Securities, Inc. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se. St-Laurent, Quebec. For Respondent appeared Robert Yrshus, V.P.. Northgate Securities, Inc., Houston, TX. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 23. 2009 CASE SUMMARY: Claimant alleged that Respondent owes him money pursuant to a Promissory Note. Claim Data

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00700 Michael E. Castle ("Claimant") vs. Fifth Third Securities, Inc., and Charles Allen Huff, Jr. ("Respondents") REPRESENTATiON OF PARTIES: Claimant appeared pro se, Marysviiie, OH. For Respondents appeared Robert M. Zimmerman, Esq., Dinsmore & Shohl LLP, Cincinnati, OH. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: February 5, 2009 CASE SUMMARY: Claimant alleged misrepresentatio

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: D. Lee Bartell (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) Case Number: 08-02408 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant D. Lee Bartell hereinafter referred to as "Claimant": David E. Robbins. Esq., Kaufmann, Reiner, Yamin Gildin & Robbins. New York. NY. Respondent Charles Schwab & Co.. Inc., h

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Wayne Hummer Investments, LLC and Beverly Bank & Trust Company, N.A. vs. Case Number: 08-02433 Hearing Site: Chicago, Illinois Names of Respondents Citigroup Global Markets, Inc., Phillip Morrison Burno, Daniel G. Hack, Patricia Ann Marsh, Mary Patricia Anderson, Tracy O'Donnell Polselli, Michele C. Hughes, and Marybeth Ann O'Connor and

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Thomas L. Powell. Individually and on behalf of his IRA vs. Case Number: 06-05107 Hearing Site: Minneapolis, Minnesota Name of Respondent Men-ill Lynch, Pierce, Fenner & Smith, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Thomas L. Powell, Individually and on behalf of his IRA ("Claimant") was represented by Donald

Award FiNRA Dispute Resoiution In the Matter of the Art}itration Between: Claimant Banc of America Investment Sen/ices, Inc. Respondent Jeffrey S. Boettcher Counter-Claimant Jeffrey S. Boettcher Counter-Respondent Banc of America Investment Sen/ices, Inc. Case Number: 08-01524 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Count

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02148 Barry K. and Phyllis J. Bradshaw, Individually and as Trustees to the Barry K. and Phyllis J. Bradshaw Tmst Name of the Respondent Hearino Site: Little Rock, Arkansas Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATiON OF PARTIES For Banry K. and Phyllis J. Bradshaw. Individually and as