Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01095 Larry IHough, Individually and on behalf of his minor children, Adam Michael Hough and Austin Lawrence Hough Name of the Respondent Hearina Site: Nashville, Tennessee Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Larry Hough, individually and on behalf of his mino

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 08-00491 Louis Duane Velez Name of the Respondent Hearing Site: Little Rocit. Arlcansas Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Louis Duane Velez, hereinafter referred to as "Claimant": Jeffrey Sonn, Esq.. Sonn & Erez, PLC, Fort Lauderdale, Florida. For Morgan Keegan & C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants: Jin O. Cha Ulan Kim Jun H. Kwon Terry and Chong M. Cha Charles and Sara Cho Sang Kyun Kim Paper Design Clothing, inc. Won P. Yim and Chong Sui< Yim Respondent: El Asset Management, inc. Case Number: 07-02044 Hearina Site: Los Angeles, Califomia Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Jin O. Cha.

Award FINRA Dispute Resolution In the Matter of the Ari3ltration Between: Claimants Geraldine K. Mast as Tmstee of the The Burdette P. Mast Trust, The Geraldine K. Mast, Trust and The Burdette P. Mast Charitable Remainder Trust Kathryn E. Wansor, Successor Trustee of the Geraldine K. Mast Trust Sally Mast Brady, Successor Trustee of the Burdette P. Mast Trust Case Number: 06-04460 Respondents LPL fka Linsco Private Ledger Group vFinan

Award RNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01694 Gregory Q. Glenn Name of the Respondents Hearina Site: Phoenix, Arizona UBS Financial Sen/ices, Inc. Lisa M. Cregan and Amy R. Melner Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Gregory Q. Glenn: Derek C. Anderson, Esq., Michaels, Ward & Rabinovitz, LLP, Bo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-01552 Efficacy Biotech Master Fund Ltd. Respondents Hearina Site: San Diego, Califomia National Financial Services LLC Fidelity Capital Markets Services Nature of the Dispute: Customer vs. Member and Non- Member REPRESENTATiON OF PARTIES Claimant Efficacy Biotech Master Fund Ltd. hereinafter referred to as "Claimant": Andrew R. Dennington, E

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00122 Ganesh Khandpekar. ("Claimant") vs. TD Ameritrade, Inc.. ("Respondent") ATTORNEYS: Claimant appeared pro se, Gary. NC. For Respondent appeared James J. Vihstadt, Esq.. In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 5. 2009 CASE SUMMARY; Claimant alleged unauthorized trading in his account. Claimant further alleged violation of fiduciary duty

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04627 Don F. Stark, ("Claimant") vs. Morgan Keegan & Company, Inc.. ("Respondent") ATTORNEYS: Claimant appeared pro se, Memphis, TN. For Respondent appeared Ryan R. Baker, Esq.. Bass, Berry & Sims PLC, Memphis, TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 5, 2008 CASE SUMMARY: Claimant alleged reckless advice, reckless indifference, and gross negligence regarding his i

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03125 Joel W. Carter as trustee of the Carter Family Trust U/A DTD 06/07/1991. Joel W. Carter, IRA. and Louise Carter, IRA, ("Claimants") vs. Charles Schwab & Co., Inc., ("Respondent") ATTORNEYS: For Claimants appeared Mamie C. Lambert, Esq., David P. Meyer & Associates Co.. LPA. Columbus, OH. For Respondent appeared Audette Paul Morales, Esq., Keesal, Young & Logan, Long Beach, CA.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Antoine Katbe (Claimant) vs. Nicholas Buonocore and Olympia Asset Management Ltd. (Respondents) Case Number: 08-00636 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Antoine Katbe hereinafter referred to as "Claimant": Adam J. Gana, Esq., Napoli Bern Ripka, LLP. New York, NY. Respondents Ni