Award FINRADispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01666 Daniel P. Rayburn, IRA Name of the Respondent Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Daniel P. Rayburn, IRA, hereinafter refeoed to as "Claimant": Richard S. Frankowski, Esq., Burice Harvey & Frankowski, LLC, Bimiingham, Alabama. F

Award FINRA Dispute Resolution In the Matter of the Artsltration Between: Claimant Case Number 08-04554 Richard C. Liechty Respondents Hearing Site: Denver, Colorado ETrade Securities LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Richard C. Liechty hereinafter referred to as "Claimant": Richard C. Liechty, In Pro Se, Denver, Colorado. Respondent E*Trade Securities LLC hereinafter referred to as "Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Numt>er: 08-00397 Elizabeth Gayie ResDondente Hearing Site: Houston, Texas Wachovia Securities, LLC Prudential Equity Group, LLC Ryan Wrebieslce Nature of the Dispute: Customer vs. I^embers and Associated Person REPRESENTATION OF PARTIES Claimant, Elizabeth Gayie, hereinafter refened to as "Claimant": J. Marie Brewer, Esq., and Sondra Jurica, Esq.,

Case Number: 08-04089 Hearing Site: Chicago, Illinois Member vs. Associated Person Morgan Stanley DW, Inc. (Xtaimanr) was represented by Renan Sugannan, Esq., Renan Sugamnan, P.C, Chicago, Illinois. Chris Minor ("Respondent" or "Minor") appeared pro se. The Statement of Claim was filed on or about October 30, 2008. The Submission Agreement of Claimant was signed on or about October 25, 2008, by Eric Chial, Esq. The Statement of Answer was filed by Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Elizabeth O. Muller, Individually, Robert R. Muller and Elizabeth O. S. Muller Tmst U/A DTD 4/23/07. Robert R. Muller IRA. Robert R. Muller Profit Sharing Plan, and Elizabeth O. Muller IRA (Claimants) vs. Morgan Keegan & Company, Inc. (Respondent) Case Number: 08-03064 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATiON OF PARTIES

FSNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01704 Veronica Harrison and Kim Hafner ("Claimants") vs. PNC Investments, Michael Joseph Elias, and John Paul IHolodinski, ("Respondents") REPRESENTATION OF PARTIES: For Claimant appeared Michael W. Hoffman, Esq., Maselli Warren, P.C, Princeton, NJ. For Respondents appeared Brian A. Carlis, Esq., Stark & Stark, Princeton, NJ. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04300 Curtis Stewart, ("Claimant") vs. Merrill Lyncli, Pierce, Fenner & Smith, Inc., ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared John N.C. Ledbetter, Esq., Ledbetter & Gilmore, P.L., Destin, FL. For Respondent appeared Julie Wilson Portera, Esq., Maynard, Cooper & Gale, PC, Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 17, 2008 CASE S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-04879 Beatrice Dreisen, Trustee and Elizabeth Kono, Co-Tmstee, FBO Beatrice Dreisen U/A/D 01/09/90 Name of the Respondent Hearina Site: Miami. Florida Citigroup Global Maricets, Inc., a/k/a Smith Barney Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Beatrice Dreisen, Trustee and Elizabeth Kono. Co-

stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 08-00380 Fredda Levitt Carol K. Segal William Siegei Names of the Respondents Hearing Site: Miami, Florida Merrill Lynch, Pierce Fenner & Smith Inc. United Capital Markets, Inc. John Devaney Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Fredda Levitt ("Levitt"),

Awaixl FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00530 Wachovia Securities, LLC Name of the Respondent Hearing Site: Raleigh, NC Charles C. Griffin Nature of the Dispute: Member vs. Associated Person. REPRESENTATiON OF PARTIES For Wachovia Securities, LLC ("Wachovia"), hereinafter referred to as "Claimant": Deborah G. Evans, Esq. and Brady J. Hermann, Esq., Michaels, Ward & Rabinov