Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gordon Levey (Claimant) vs. Brownstone Investment Group, Brownstone Investment Partners, LLC, Brownstone Asset Management, LLP, Douglas B. Lowey, and Barret Nayior (Respondents) Case Number: 08-00449 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member, Non-Members, and Associated Persons. REPRESENTATION OF PARTIES Claimant Gordon Levey herein

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant C.A.S.E. Credit Union vs. Case Number: 07-00712 Hearing Site: Detroit, Michigan Name of Respondent Prudential Equity Group, LLC NATURE OF THE DISPUTE Customer vs. Tenninated Member REPRESENTATION OF PARTIES C.A.S.E. Credit Union ("Claimant" or "CASE") was represented by Samuel Benton Edwards, Esq.. Shepherd, Smith, Edwards & Kantas, LLP, [Houston

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00574 Gerald E. Humphries Name of the Respondent Hearing Site: Jaci^son. Mississippi Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gerald E. Humphries, hereinafter referred to as "Claimant": Jeffrey Erez, Esq. and Jeffrey Bonn, Esq., Sonn & Erez, PLC. Fort Lauderdale, Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02300 Ameriprise Financial Services, Inc. Name of the Respondent Hearing Site: Memphis, Tennessee Kevyn R. Robinson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Ed Magarian, Esq., Dorsey & Whitney LLP, Minneapolis, Minneso

AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Catherine L. Manoni vs. Case Number: 08-03024 Hearing Site: St. Louis Names of Respondents Moloney Securities Company, Inc. and Michael Thomas Standley Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Catherine L. Manoni ("Claimanr) appeared pro se. Moloney Securities Company, Inc. ("Moloney Securities") and Michael Thomas Stan

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jacqueline Knoll vs. Case Number: 08-00231 Hearing Site: Detroit, Michigan Names of Respondents Citigroup Global Markets, Inc., Smith Barney, Inc., Citigroup, and David A. Knoll, Deceased NATURE OF THE DISPUTE Customer vs. Members, Non-Member, and Associated Person REPRESENTATION OF PARTIES Jacqueline Knoll ("Claimant") was represented by Dav

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Edward Santangelo Irrevocable Qualified Annuity Tmst U/A 3-11-07, by Raynold A. Schmick, Trustee vs. Names of Respondents Fifth Third Securities, Inc. and Jeremy Woolcott Case Number: 08-01798 Hearing Site: Detroit. Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Edward Santangelo Irrevocable

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Maxim Group LLC (Claimant) vs. Andrey V. Tkatchenko (Respondent) Case Number: 08-02122 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Maxim Group LLC hereinafter referred to as "Claimant": Christopher G. Massey, Esq., Maxim Group LLC, New Yoric, NY. Previously represented by James E. Slegel. Esq., Maxim Gr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co. (Claimant) vs. William Bucci (Respondent) Case Number: 07-01842 Hearino Site: Philadelphia, Pennsylvania consolidated with Ryan Beck & Co. (Claimant) vs. Genan-o Vuono (Respondent) Case Number: 07-01843 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: 07-01842: Member vs. Associated Person 07-01843: Member vs. Associated Person REPR

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04758 Jason Wallace Quails, ("Claimant") vs. Northwestern Mutual Investment Services. LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se, Murfreesboro, TN. For Respondent appeared Rebecca Brinkley, Esq.. Waller, Lansden, Dortch & Davis, LLP. Nashville, TN. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: December 15, 2008 CASE SUMMARY: Claimant alleged that Respondent