AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kathleen Ann Bronkalla vs. Case Number: 08-04071 Hearing Site: Chicago, Illinois Name of Respondent Fidelity Brokerage Services, LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Kathleen Ann Bronkalla ("Claimant") appeared pro se. Fidelity Brokerage Services, LLC ("Respondent" or "Fidelity") was represented by Cameron S

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Tim Bell vs. Case Number: 04-04494 Hearing Site: Houston, Texas Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Jack B. Gnjbman MATURE OF THE DISPUTE Customer vs. Member and Associated Person Tim Bell ("Claimant") was represented by William B. Young, Jr.. Esq., Colling. Gilbert. Wright and Carter, Oriando,

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant: Case Number: 08-00892 Bear, Steams & Co. Inc. n/k/a J.P. Morgan Securities Inc. Name of the Respondent: Hearing Site: Los Angeles, Califomia Vivine H. Wang Nature of the Dispute: Member vs. Customer REPRESENTATiON OF PARTIES Claimant Bear, Steams & Co. Inc. n/i< /a J.P. Morgan Securities Inc. hereinafter referred to as "Claimant": Devin A. Donoh

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Claimant Case Number: 08-00659 Joan Davenport Francis Respondents Hearing Site: Phoenix, Arizona Neuberger Bemian, LLC Lisa H. Reed Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Joan Davenport Francis, hereinafter referred to as "Claimant": Michael W. Sillyman, Esq., Kutak Rock LLP, Scottsdale, Arizona. Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 06-00240 Meniii Lynch. Pierce, Fenner & Smith Incorporated Name of the Respondent: Hearing Site: Los Angeles, Califbmia Marie Rossel Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce. Fenner & Smith Incorporated hereinafter referred to as "Claimant": Patricia Tsipras, Esq., Rubin

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant: Case Number: 08-03213 F^ndal B. Brown, Individually and as Trustee of The Randal Brown Trust U/A DTD 01/25/1996 and on behalf of the Randal B. Brown IRA Rollover Name of the Resoondent: Hearing Site: Los Angeles, Califbmia Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Randal B. Brown

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number. 08-01154 Richard Soshea Respondent Hearing Site: Seattle, Washington Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Memt)er REPRESENTATION OF PARTIES Claimant, Richard Soshea, hereinafter referred to as "Claimant": Thomas F. Burke, Esq.. Law OfTices of Thomas F. Buri^e, Chicago, Illinois. Respondent. Morgan Keegan & Company. I

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-02213 Grace Pipitone Charles Poehlitz Estate of Augustus Pickens Evelyn Jones Grover Drum Estate of Pauline Sweet Names of the Respondents Hearing Site: Baltimore, Maryland SunTrust investment Services, Inc. Uzo Omar Chima Names of the Third Partv Respondents J. Michael Holloway Terry K. Sullivan Holloway & S

Award FINRA Dispute Resolution In the Matter of the Ari3itratlon Between: Names of the Claimants Case Number 08-00179 Henry Klosky Patricia Klosky Name of the Respondent Hearing Site: Memphis, Tennessee Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Henry Klosky and Patricia Klosky, hereinafter collectively referred to as "Claimants": H. Naill Falls, Jr., Esq., Falls & Veach. Nashville,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04491 Dan Schmeidler, ("Claimant") vs. Charles Schwab & Co., Inc., ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Los Angeles, CA. For Respondent appeared Mai Klaassen, Esq., In-house Counsel, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 28, 2008 CASE SUMMARY: Claimant alleged that Respondent is accountable for losses to his trading