Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-01945 Olga Stone as Trustee for the Olga M. Stone Servay Trust DTD 082697. Olga May Servay and Olga Stone as custodian for Anna Servey Names of the Respondents Hearino Site: Nashville, Tennessee Morgan Keegan & Company, Inc. James C. Kelsoe, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: ceo Investment Services Corp. (Claimant) vs. Carlos Martinez (Respondent) Case Number. 08-04188 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant CCO Investment Services Corp. ("Claimant"): David M. Belcher, Esq.. and Christine Fitzgerald. Esq., Belcher. Starr & Fitzgerald LLP, Boston. MA. Respondent Carlos M

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: D B Toy Products, Inc. and Marilyn Brechner TTEE Gertmde Sussel Irrevocable Trust (Claimants) v. Sky Capital, LLC and Patrick Rathje (Respondents) Case Number: 07-03351 Hearina Site: New York. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants D B Toy Products, Inc. ("D B Toy Products") and Marilyn Brechner TTEE Gertmd

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James D. Ritter and Maxim Growth Fund LP (Claimants) v. Eric L. Lyon, John G. Black, and Wachovia Securities Financial Network. LLC (Respondents) Case Number: 08-01045 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimants James D. Ritter ("Ritter") and Maxim Growth Fund LP ("Maxim Growth Fund"), h

AWARD FINRA DISPUTE RESOLUTION CASE: 08-03406 Larry W. Overbay ("Claimant") vs. Danielle Newman and Robert Carpenter ("Respondents") REPRESENTATION OF PARTIES: Claimant appeared pro se. Street, MD. For Respondents appeared Demian J. Betz, Esq., Wachovia Securities, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer v. Associated Persons DATE FILED: September 22, 2008 CASE SUMMARY: Claimant alleged omission effects, misrepresentation, unauthorized

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Victoria Kaufman (Claimant) vs. UBS Financial Services, Inc., and Scott Rose (Respondent) Case Number: 08-01224 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Victoria Kaufman ("Claimant"): Stanislaus Mroczkowski, Midlothian. VA. Respondents UBS Financial Services, Inc. ("UBS") and Scott Rose

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00942 Patricia A. Kubitzki CCIaimanf) vs. New England Securities Corp. and Timothy John l\1cDermott ("Respondents") REPRESENTATION OF PARTIES: Claimant appeared pro se, Shawnee. KS. For Respondents appeared B. John Pendleton, Jr.. McCarter & English, LLP, Newark, NJ. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: February 16, 2009 CASE SUMMARY: Claimant alleged that Respondents fail

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Deborah L. Pederson vs. Case Number: 08-00826 Hearing Site: Minneapolis, Minnesota Name of Respondent RBC Capital Markets Corporation NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Deborah L. Pederson ("Claimant") was represented by William J. Egan, Esq., Oppenheimer Wolff & Donnelly, LLP, Minneapolis, Minnesota.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: N^me of the Claimant Case Number: 07-02537 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Frederick Kelleher Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "BAI": D. Daxton White, Esq., Kane & Fischer, Lt

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00887 Banc of America Investment Services, Inc. ("Claimant") vs. William P. Callahan ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Diane C. Fischer, Esq., Kane and Fischer. Ltd., Chicago, IL. Respondent William P. Callahan did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 18. 2009 CASE SUMMARY: Claimants asserted the followi