STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Ameriprise Advisor Services, Inc. V\Ua H&R Block Financial Advisors, Inc. vs. Name of ResDondent/Counter-Ciaimant Kevin Leet Case Number: 08-02129 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Advisor Services, Inc. f/k/a H&R Block Financial

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Claimant Case Number: 08-00454 Jina Jeong ResDondente Hearing Site: Los Angeles, Cailtomia Poidential Financial. LLC Pruco Securities. LLC Jung U. Pari( Nature of the Dispute: Associated Person vs. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Claimant Jina Jeong hereinafter referred to as "Claimant": Jina Jeong. In Pro Se. Little Rock,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-02897 Inna T. Agee, individually and as Owner and Beneficiary of the Irma T. Agee IRA Respondents Hearina Site: San Diego, Califomia Wedbush Morgan Securities, Inc. Beverley M. Hylton Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Inna T. Agee, individually and as Owner and Beneficiary of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00533 William H. Corcoran Name of the Resoondent Hearing Site: Boca Raton, Florida Prestige Financial Center, Inc. Nature of the Dispute: Customer vs. Memk)er. REPRESENTATION OF PARTIES For William H. Corcoran, hereinafter referred to as "Claimant": Richard A. Stephens, Esq., Law Office of Richard Stephens, Boca Raton, Florida. Fo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01464 Delano Colston Name of the Respondent Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Delano Colston, hereinafter referred to as "Claimant": Debra B. Hayes, Esq., The Hayes Law Firm, P.C, Houston, Texas. For Morgan Keegan & Company, Inc.,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00356 Robert J. Kelly ("Claimant") vs. Cantor Fitzgerald & Co. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Hiilsboro Beach, FL. For Respondent appeared Lori Pennay, Esq., Cantor Fitzgerald & Co., New Yorit. NY. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: January 22.2009 CASE SUMMARY: Claimant alleged that the reason for termination on his Form U4 is inaccurate and should

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00521 Kennetii C. Armstrong ("Claimant') vs. Cliaries Sciiwab & Co., inc. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Fort Wortti, TX. For Respondent appeared Evelyn A. Druci^er, Esq.. Keesal. Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 28, 2009 CASE SUMMARY: Claimant alleged tliat Respondent misrepresented tlie risks of the Schwab YieldPl

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00094 Summit Broicerage Services, inc. ("Claimant") vs. Ronald Michael George ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Gary Menzer, Esq., Summit Brokerage Services, Inc., Boca Raton. FL. Respondent appeared pro se, Paridand, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 7. 2009 CASE SUMMARY: Claimant alleged breach of licensee agreement. Claimant maintain

stipulated Award FINRA Dispute Resolution In the l\1atter of the Arbitration Between: Citigroup Global Mari< ets, Inc. Wa Salomon Smith Barney, Inc. (Claimant) vs. Jeffrey T. Farrell (Respondent) Case Number: 07-02501 Hearing Site: Philadelphia, Pennsylvania consolidated with Jeffery Thomas Farrell (Claimant) vs. Citigroup Global Marl^ets, Inc., John R. Nelson, Anthony Privetera, and Deborah Phillips (Respondents) Case Number: 08-03465 Hearing Sit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Estate of Therese Bachalany Amiouny, deceased, Macha Amiouny, Suin Amiouny, Cathy Amiouny, and Sulna Development Company N.V. (Claimants) vs. Prudential Securities, Inc. (Respondent) Case Number: 05-03988 Hearing Site: New Yori^, New Yori< Nature of the Dispute: Customers vs. !\^ember REPRESENTATION OF PARTIES Claimants The Estate of Therese Bachalany Amiouny, deceased, ("Th