FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04503 Sylvia Ferber TTEE U/A 11/13/97 by Sylvia Ferber. ("Claimant") vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent") ATTORNEYS: For Claimant appeared Mark A. Tepper, Esq., Mark A. Tepper, P.A., Fort Lauderdale, FL. For Respondent appeared Julie W. Portera, Esq., Maynard, Cooper & Gale, PC, Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 28, 200

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04550 Douglas Boynton Quine, ("Claimant") vs. Computershare Securities Corporation, ("Respondent") ATTORNEYS: Claimant appeared Pro se, Bethel, CT. For Respondent appeared April J. Lindauer, Esq., In-house Counsel, Chicago. IL. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 2, 2008 CASE SUMMARY: Claimant alleged egregious breach of fiduciary responsibility and market fai

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01409 Marina Pacific Associates, LP, a Califomia limited partnership Respondent Hearino Site: San Francisco, California Wells Fargo Institutional Securities, LLC. a Delaware limited liability company, and Wells Fargo Brokerage Services, LLC, a Delaware limited liability company Nature of the Dispute: Customer vs. Members REPRES

Award FINRA Disputa Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-00696 James Lassiter Respondents Hearing Site: San Diego. California WaMu Investments, Inc. Matthew William Murphy Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, James Lassiter. hereinafter refen-ed to as "Claimant": Thomas E. Wenbourne, Esq.. Attorney at Law, El Cajon. California. Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Morgan Stanley & Co.. Incorporated Name of the Respondent: John Anthony Marrone Case Number: 08-02353 Hearino Site: Los Angeles. Califomia Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co.. Incorporated hereinafter referred to as "Claimant": Steven W. Brennan. Esq., St. John. Wallace. Brennan

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants REBECCA K PERRY IRA; BENJAMIN E PERRY ROTH IRA; DONNA MAE JACOBSON, INDIVIDUALLY; ELMER WILKEN TRUST. DONNA MAE JACOBSON, TRUSTEE; BERNIECE M. BONEBRAKE TTEE and BERNICE (BERNIECE) M BONEBRAKE REV TRUST; MARY DONNA YEARSLEY; ARNOLD Case Number: 08-02281 GRIEPENSTROH TRUST, DEAN H Hearing Site: Omaha, Nebraska GRIEPENSTROH. TRUSTEE; D

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03878 Micliaei Scott loane, Sr., ("Claimant") vs. Scottrade, Inc., ("Respondent") ATTORNEYS: Claimant appeared Pro se, Mariposa, CA. For Respondent appeared Ryan M. Blum, Esq., In-house Counsel, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 22. 2008 CASE SUMMARY: Claimant alleged that Respondent is withholding common shares of Modern Energy. Claimant main

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eric Serfaty (Claimant) v. Citigroup Global Markets, Inc. (Resf>ondent) Case Number: 07-03151 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Eric Serfaty hereinafter referred to as ''Claimant\- John D. Singer, Esq. and Michael C. Deutsch, Esq., Singer Deutsch LLP, New York, NY. Respondent Citigroup Global

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03825 Jacob R. Froess, ("Claimant") vs. AmTrust Investment Services, Inc., ("Respondent") ATTORNEYS: For Claimant appeared Mark A. Tepper, Esq., Mark A. Tepper, P.A., Fort Lauderdale, FL. For Respondent appeared William J. Arnold, Esq., Cleveland, OH. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 20, 2008 CASE SUMMARY: Claimant alleged violation of section 517.301 of the Fl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Clainiants Case Number. 08-00336 Edward L. King, Jr. Roderick E. King Name of the Respondent Hearing Site: BImiingham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Edward L. King. Jr. ("E. King"), and Roderick E. King ("R. King"), hereinafter collectively referred to as "Claimants": Andrew S