Award RNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Numt)er: 08-00301 Tyrone Bert Tabak Name of the Respondent Hearino Site: Las Vegas, Nevada Wedbush Morgan Securities, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Tyrone Bert Tabak: Fred N. Tabak. Esq., Tabak and Tapper, Milwaukee, Wisconsin Respondent Wedbush Morgan Securities, Inc.: Charies LaChau

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01633 Gregory Hampy Names of the Respondents Hearing Site: Charlotte, North Carolina Synergy Investment Group, L.L.C. Jeffrey D. Jones Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES For Gregory Hampy, hereinafter referred to as "Claimant": Douglas F. Stone, Esq., Law Off

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fahrudin Sinanaj, Duane Winchester, Tyre Newsome, and John Suh (Claimants) vs. Maxim Group, LLC (Respondent) Case Number: 07-00130 Hearino Site: New York. New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Fahrudin Sinanaj ("Sinanaj"), Duane Winchester ("Winchester"), Tyre Newsome ("Newsome"), and John Suh ("Suh"), here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Jeffrey Matthews Financial Group, LLC (Claimant) vs. Benjamin Michael Miceli (Respondent) Case Number: 08-02407 Hearina Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant The Jeffrey Matthews Financial Group, LLC ("Claimant"): Kenneth A. Elan, Esq.. Law Office of Kenneth Elan, New York, NY. Respondent Benjami

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02945 Michael W. Casey ("Claimant") vs. Michael Paul Nocella, Kraig Barrence Pivnick, and Wunderlich Securities, Inc. ("Respondents") ATTORNEYS: Claimant appeared Pro se, Fallbrook, CA. For Respondent Michael Paul Nocella appeared Stephen B. Wexler, Esq., Burkhart, Wexler & Hirschberg, LLP. Garden City, NY. Respondent Kraig Barrence Pivnick appeared Pro se. Long Beach, NY. For Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bennie R. Frazier and Jo Anne Frazier, TTEES, The Frazier Family Trust, U/A/D 09/07/95 (Claimant) vs. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman (Respondents) Case Number: 04-05235 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant The Frazier Family Trust,

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant The Estate of Mildred McCreanor vs. Case Number: 07-02379 Hearing Site: Columbus. Ohio Name of Respondent The Huntington Investment Company NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES The Estate of Mildred McCreanor ("Claimanr) was represented by David P. Meyer, Esq., Meyer & Associates, Co., LPA. Columbus, Ohio. The

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jo L. Wright vs. Name of Respondent Morgan Keegan & Company. Inc. Case Number: 08-00647 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Jo L. Wright ("Claimant" or" Wright") was represented by Mari< E. Maddox, Esq., Maddox, Hargett & Caruso, PC, Fishers, Indiana. Morgan Keegan & Com

AWARD FINRA Dispute Resolution In the Matter of the Art^itration Between: Name of Claimant Ameriprise Financial Sen/ices, inc. vs. Name of Respondent Jesse Booker Brown Case Number. 08-00952 Hearing Site: Chicago, Illinois Member vs. Associated Person Ameriprise Financial Services, Inc. ("Claimant" or "Ameriprise") was represented by Will Stute, Esq., Faegre & Benson, LLP, Minneapolis, Minnesota. Jesse Booker Brown ("Respondent" or "

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Clyde A. Cnjtcher vs. Name of Respondent New England Securities Corp. Case Number: 07-00440 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Clyde A. Crutcher ("Claimant" or "Crutcher") was represented by Richard B. Fosher, Esq., Calces & Fosher, LLC, Bethalto. Illinois. New England Se