Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ralph E. Plechner (Claimant) vs. Wachovia Securities. LLC and Mr. Jacl( Greenwald (Respondents) Case Number: 08-03057 Hearina Site: Philadelphia. Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Ralph E. Plechner hereinafter referred to as "Claimant" appeared pro se. Respondent Wachovia Securities, LLC ("Wachovia")

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04174 Alice Talisse and Richard Talisse, ("Claimants") vs. Morgan Keegan & Company, Inc., ("Respondent") ATTORNEYS: For Claimants appeared James A. Dunlap, Jr., Esq., James A. Dunlap & Associates LLC, Atlanta, GA. For Respondent appeared G. Wayne Hillis, Jr., Esq., Part< er, Hudson, Reiner & Dobbs LLP. Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 11. 2

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03633 Dio Javier, ("Claimant") vs. TD Ameritrade, Inc., ("Respondent") ATTORNEYS: Claimant appeared Pro se, Palmdale, CA. For Respondent appeared James J. Vihstadt, Esq., In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 6. 2008 CASE SUMMARY: Claimant alleged that he sustained significant losses due to the reckless actions of the Respondent rega

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Raymond James Financial Services, Inc. (Claimant) vs. Mark Healey (Respondent) Case Number: 06-05128 SITUS: New Yori^. New York. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES Raymond James Financial Services hereinafter referred to as "Claimant": Kelli Bullington, Esq., Raymond James Financial Services, Inc., St. Petersburg, FL. Mark Healey here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Botkier (Claimant) vs. H. Kenneth Sidel, a/k/a Harold Kenneth Sidel. a/k/a Harold Kenneth Cohen, d/b/a HKC Securities, Inc., and Sidel Group (Respondents) Case Number: 08-00196 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Non-Member, Associated Persons, and Member REPRESENTATION OF PARTIES Claimant Joseph Botkier hereinafter referred to as "Claimant"

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richanj Keith Soucy (Claimant) v. Fidelity Brolcerage Services LLC (Respondent) Case Number: 08-01621 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Richard Keith Soucy hereinafter referred to as "Claimant" appeared pro se. Respondent Fidelity Brol< erage Services LLC hereinafter referred to a

Award FINRA Dispute Resolution In the Matter of the Arisltration Between: Name of the Claimant Case Number: 08-02515 Peari T. Marsh Name of the Respondents Hearina Site: Chariotte, North Carolina Ronald S. Clinard Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Peari T. Marsh, hereinafter referred to as "Claimant": Frederick K. Sharpless, Esq., Sharpless & Stavola, P.A.

Award FINRA Dispute Resolution In the Matter of the Art)itraition Between: Name of the Claimant Case Number: 08-00821 David G. Rademacher Name of the Respondent Hearing Site: New Orleans, Louisiana Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For David G. Rademacher, hereinafter referred to as "Claimant": Gene E. Mitchell, Esq., Liberis & Associates, P.A., Pensacola, Florida. For Morgan

STIPULATED AWARD FINRA Dispute Resolution in ttie Matter of the Arbitration Between: Name of Claimant Brad Kuhlmann vs. Case Number: 08-02928 Hearing Site: Kansas City, Missouri Names of Respondents Liberty Partners Financial Services, LLC, William Nicholas Athas, Kenneth Gregory Bonal. Jr.. and Robert Stephen Glynn Customer vs. Member and Associated Persons Brad Kuhlmann ("Claimanr) was represented by John J. Miller, Esq.. Swanson M

Award FINRA DIsputs Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01231 James R. O'Rorice Respondents Hearina Site: Boulder, Colorado Charles Schwab & Co., Inc. Marie IHaenny Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, James R. O'Rori^e, hereinafter refenred to as "Claimant": Patricia Baldwin, Esq., Baldwin Law Group, Menio Paric, Califomia. Responde