Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number 08-01722 Rod J. Babbitt ResDondents Hearing Site: Salt Lake City, Utah America's Chotee Equities, LLC RBC Dain Rauscher, Inc n/k/a RBC Capital Maricets Corporation Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant, Rod J. Babbitt, hereinafter referred to as "Claimant": Jan Greham, Esq., Graham Law Offices, Salt Lake C

Award FINRA Dispute Rttsolutlon In the Matter of the Arbitration Between: Name of the Claimant Wesley A. Rusch Name of the Respondente Merriman Curhan Ford & Co.; MCF Asset Management LLC; MCF/NV Asset Management LLC; Christopher L. Aguiiar; David J. Merriman; Gregory S. Curhan; Roiaert E. Ford, Jr. and Sally M. Noble Case Number 07-02635 Hearing Site: San Francisco, Califomia Nature of the Dispute: Associated Person vs. Membe

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Wachovia Securities, LLC vs. Name of Respondent/Counter-Claimant David W. Strand Case Number: 08-00340 IHearing Site: Detroit. Michigan NATURE QF THE DISPUTE Member vs. Associated Person REPRESENTATION QF PARTIES Wachovia Securities. LLC ("Claimant" or "Wachovia") was represented by Diane C. Fischer, Esq.. Ronald P.

AWARD FINi^ Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Laurence and Nancy Knepper and Charna Knepper vs. Case Number: 07-00245 l-learing Site: Kansas City, Missouri Name of Respondent Andrew Garrett, Inc. DISPUTE Customers vs. Member Laurence and Nancy Knepper and Chama Knepper, hereinafter collectively referred to as "Ciaimante." were represented by Robert R. Barton, Esq., The Law Office of Robert

Award FINRA Disputo Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00300 David S. Cutler Name of the Respondent Hearina Site: Washington. D.C. Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For David S. Cutler, hereinafter referred to as "Claimant": David Hanison, Esq., Law Offices of David Harrison, Beveriy IHills, CA. For Charies Schwab & Co., I

Award FINi^ Disputo Resolution In the Matter of the Arbitration Between: Names of the Ciaimante Case Number: 08-03829 Richard J. Zachar and Dawn K. Zachar Name of the Respondent Hearina Site: Boca Raton, Florida Fidelity Brolcerage Sen/ices, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Ciaimante Richard J. Zachar ("R. Zachar") and Dawn K. Zachar ("D. Zachar"), hereinafter collectively referred to as "Ciaimante", a

Award FiNi%A Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Raymond James & Associates, Inc. Name of the Respondent Walter Woodrick Case Number: 08-01582 (consolidated with 08-01668) Hearing Site: New Orieans, Louisiana In the Matter of the Arbitration Between: Name of the Claimant Walter Woodricic Names of the Respondente Raymond James & Associates, Inc. Joe. T. King Case Number: 08-01668

Award FiNi^ Dispute Resolution In the Matter of the Arbitration Between: Isiame of the Claimant Case Number: 08-01066 Claude D. Jones and Svitlana Morgan, Attomey-ln-Fact for Claude Jones Name of the Respondent Hearing Site: Tampa, Florida Morgan Keegan & Co., Inc. Nature of the Disputo: Customer vs. Member. REPRESENTATION OF PARTIES For Claude D. Jones and Svitlana Morgan, Attomey-ln-Fact for Claude Jones, hereinafter referred to as "Cla

stipulated Award FiNRA Disputo Resolution In the Matter of the Ariaitration Between: Name of the Claimant Case Number: 08-01044 Gerald R. Benjamin Names of the Respondente Hearing Site: Atlante, Georgia Navigant Capitel Advisors, LLC Navigant Consulting, Inc. Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES For Gerald R. Benjamin, hereinafter refened to as "Claimant": Andrew J. Bernstein, Esq.,

Award FINI^ Dispute Resolution In the Matter of the Arbitratton Between: Name of the Claimant Case Number: 09-00018 Charlotte D. Botello Revocable Tmst Name of the Respondent Hearina Site: Washington. D.C. Global Brokerage Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Chariotte D. Boteiio Revocable Trust, hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq.. Law Office of Howard M. Rosen