Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00757 Peter J. Bennett Peter J. Bennett IRA Name of the Respondent Hearing Site: New Orieans, Louisiana Morgan Keegan & Company, inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Peter J. Bennett and Peter J. Bennet IRA. hereinafter collectively referred to as "Claimant": Steven B. Caruso, Esq., Maddox.

Award FINRA Dispute Resolution in the Matter of the Ari^itration Between: Name of the Claimant Case Number: 08-00039 James Timothy McCarver Name of the Respondent Hearino Site: Tampa, Florida Morgan Keegan & Company, inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For James Timothy McCarver, hereinafter referred to as Xlaimant": Jan Douglas Atlas, Esq. and Jeffrey A. Backman, Esq., Adomo & Yoss, LLP, Ft. Lauderdale, Fl

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent H&R Block Financial Advisors, Inc. n/k/a Ameriprise Advisor Services, inc. vs. Case Number: 07-01469 Hearing Site: Detroit, Michigan Name of Respondent/Counter-Claimant Christopher Theut NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES H&R Block Financial Advisors, Inc. n/k/a Ameriprise Advisor Serv

stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 06-05031 Barbara Zickler IRA Respondent Hearing Site: Albuquerque, New Mexico Broolcstreet Securities Corporation Nature of the Dispute: Customer vs. Member Claimant Barbara Ziclder IRA hereinafter refened to as "Claimant": Justin Sawyer, Esq., Little & Dranttei, P.C.. Albuquerque. New Mexico. Respondent Brcx)icstreet Securities Corporation

stipulated Award HNRA Dispute Resolution In the Matterof the Art>itration Between: Name of the Claimant Case Number 07-02096 David H. Glazov Name of the Respondents Hearing Site: \jos Angeles, Califomia Ameriprise Advisors Sen/ices, Inc. f/lc/a H & R Block Rnancial Advisors, Inc. and Rot>ert Terry Nature of the Dispute: Associated Person v. Member and Associated Person REPRESEWTATIOW OF PARTIES Claimant, David H. Glazov: D. Aaron Brock, Esq.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Mary Buschkopf, Jane Buschkopf. Kenneth Graff, Mary Jo Graff, and Jeanne McFadden, for Kathleen McFadden POA vs. Case Number: 07-03401 Hearing Site: Chicago, Illinois Names of Rest>ondents Capitol Securities Investments Corp. and Stonley A. Klimek NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In tiie Matter of the Arbitration Between: Names of tiie Claimants Case Number: 08-01931 Jawad N. Hammad and Deena J. Hammad Jude J. Hammad Names of the Respondents Hearing Site: Washington. D.C. National Financiai Services LLC Banc of America Investment Sen/ices, Inc. Bank of America Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jawad N. Hammad, Deena J. Hammad, and Jude J. Hamm

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 08-00125 First Allied Securities, Inc. Name of the Respondent Hearing Site: San Diego, Califbmia Peter Anthony Hoist Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, First Allied Securities, Inc.: Anne Yannakakis, Esq., First Allied Securities, Inc., Chesterfield, Missouri Respondent, Peter Anthony Ho

Award FINRA Dispute Resolution In the Matter of the Arbitration BetiMeen: Name of Claimant Case Numlaer 06-04310 Deutsche Banic Securities, Inc. Name of Respondent Hearina Site: Los Angeles, Califbmia Jaysen McCleary Name of Counter-Claimant Jaysen McCleary Name of Counter-Respondent Deutsche Bank Securities, Inc. Nature of the Dispute: Memlser v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES Claimant/Co

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) v. James Holway (Respondent) Case Number: 06-04114 Hearing Site: Boston. Massachusetts Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane and Fischer, Ltd., Chicago, IL.