AWARD FINRA DISPUTE RESOLUTION CASE: 09-01199 Dennis Roger Turman, Individually and on behalf of Dennis Roger Turman IRA ("Claimants") vs. Charles Schwab & Co.. Inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared J. Boyd Page. Esq.. Page Perry LLC, Atlanta. GA. For Respondent appeared Evelyn A. Christensen, Esq.. Keesal, Young and Logan, Long Beach. CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: March 5. 2009 CASE SUMMAR

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald E. Morrone (Claimant) vs. Independent Financial Marketing Group, Sun Life Financial Distributors, Inc.. and LPL Holdings, Inc. (Respondents) Case Number: 08-03509 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Ronald E. Morrone hereinafter referred to as "Claimant": Dan A. Druz. Esq., Dan Druz, Esq

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 08-01735 Gary L. Caletka Names of the Respondente Hearing Site: New Orleans, Louisiana David Daily Helen Caletka Central Louisiana Electric Corp. Nature of the Dispute: Customer vs. Associated Person and Non-Member. REPRESENTATION OF PARTIES Gary L. Caletka, hereinafter refened to as "Claimant", appeared pro se. For David Daily,

Award FINRA DIaputo Reaolutlon In the Matter of the Arbitration Between: Name of the Claimant: Case Number 08-02452 Llem Leigh Name of the Resoondent: Hearing Site: Los Angeles, CalHomla E*Trade Securities LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Llem Leigh ("Leigh"), hereinafter referred to as "Claimant": pro se, Irvine, Califomia Respondent E*Trade Securities LLC ("E*Trade"), hereinafter refemed

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 08-03307 Albert Longix}tham Trust Respondent Hearing Site: Portland, Oregon Morgan Stanley DW, Inc. rMa Morgan Stanley & Co., Incorporated Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Albert Longbotham Trust, hereinafter referred to as "Clainfiant": Rolsert S. Banks, Jr., Esq., The Banics l^w Offices, P.C.. Portlan

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00346 G. Reagan Shanley III and Deidre F. Stanley Ten/Com ("Claimants") vs. Charles Schwab & Co.. Inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared G. Shanley Reagan, III, New Canaan, CT. For Respondent appeared Evelyn A. Christensen, Esq., Keesal. Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: January 22, 2009 CASE SUMMARY: Claimants alleged losses as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Smith Barney Division of Citigroup Global Markets. Inc. f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Gerald Grossman, Stanley Lerner, Eric Boory, Scott Lerner, Eric Stevens, and Morgan Stanley DW Inc. (Respondents) Case Number: 06-03828 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Persons and Member. REPRESENTATiON OF PARTiES Claim

Award HNi^ Dispute Resolution In the Matterof the Arbitration Between: Name of the Claimante Nancy Jolcerst: Rev. William McLean; David E. Anderson and Rev. Loren L. Rtebe Name of the Respondente Emmett A. i-aricin Company, inc. and Michael Andrew Dawes Case Number 08-02069 Hearinc Site: Los Angeles, Caiifomia NatereofttierDisputerCu^ REPRESENTATION OF PARTIES Claimante, Nancy Jokerst ("N. JokersT), Rev. William McLean ("Rev. W. M

Award FINRA Dispute Resolution In the Matters of the Ari3ltration Between: Name of the Claimant: Wedbush Morgan Securities Inc. Name of the Respondents: Donald K. McGhan Richard W. Talley Tailey & Company Name of the Counter-Claimant: Talley & Company Name of the Counter-Resoondent: Wedbush Morgan Securities Inc. Case Number 04-02355 Hearing Site: Los Angeles, Califbmla Nature of the Disputes: Member vs. Customer, Member, and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 09-00592 Shamshudin Ladha Laiji Zarina Shamshu Laiji Respondent Hearing Site: Los Angeles, Califbmla Citigroup Global Markets Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Shamshudin Ladha Laiji and Zarina Shamshu Laiji, hereinafter collectively refened to as Xiaimants": Shamshudin Ladha Laiji, In Pro Se,