stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01679 Daniel P. Day Names of the Respondents Hearing Site: Orlando, FL Wunderlich Securities, inc. Capital Securities of America, Inc. Jerry Cline Charies N. Watson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Daniel P. Day, hereinafter refen^d to as "Claimant": K. Mic

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00174 Jimmy W.Chase Genette P. Chase Name of the Respondent Hearing Site: Oriando, FL Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jimmy W. Chase and Genette P. Chase, hereinafter collectiveiy referred to as "Claimants": Andrew Stoltmann, Esq., Stoitmann Law Offices, Chicag

Award FINRA Dispute Resolution \n the l\4atter of the Arbitration Between: Name of the Claimant Case Number: 08-01448 Lily Azmoun Names of the Respondents Hearino Site: Washington, D.C. Scott & Stringfellow. Inc. Ronald L. Salyer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lily Azmoun, hereinafter refen^d to as "Claimant": W. Scott Greco, Esq., Greco & Greco, P.C, McLean, VA. For Respon

Award FINRA Dispute Resolution In the IVIatter of the Arbitration Between: Name of the Claimant Case Number: 08-00882 Edward Francis Spencer Revocable Trust DTD 9/7/2007 Edward Francis Spencer Trustee Name of the Respondent l-Jearlnq Site: New Orleans, Louisiana Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. IVIember. REPRESENTATION OF PARTIES For Edward Francis Spencer Revocable Trust DTD 9/7/2007 Edward Francis Spencer T

Award FINRA Dispute Resolution In the Matters of the Artsitration Between: Claimant: Optionshouse, Inc. Respondents: Amir All Jivani Muhammad Raza Jivani Counterciaimants: Amir All Jivani Muhammad Raza Jivani Counter-Respondent: Optionshouse, inc. Third-Party Claimants: Amir All Jivani Muhammad Raza Jivani Third-Partv Respondents: Daniel Rosenthal James Halm Robert Baldwin Tycho Clayton Penson Financia

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Claimant Case Number: 07-02111 Paul Bajocchi Respondent Hearino Site: Los Angeles, Cairfbmia Euro Pacific Capital, Inc. Counter-Claimant Euro Pactfic Capital. Inc. Counter-Respondent Paul Baiocchi Nature of the Dispute: Associated Person vs. Memt)er Member vs. Associated Person REPRESENTATION OF PARTIES Ciaimant/Counter-Respondent Paul Baiocchi hereinafter

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jean Nilsson (Claimant) v. Anthony Czarzasty and Menill Lynch, Pierce, Fenner & Smith, Inc. (Respondents) Case Number: 07-03395 Hearina Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Jean Nilsson hereinafter refened to as "Claimant": Paul Sabia, by power of attomey for the Claimant.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03002 Alfred Mullen, IRA by Kelley B. Standard, Dorothy E. Mullen IRA by Kelley B. Standard, Est. of Dorothy E. Mullen by Kelley B. Standard. Personal Representative ("Claimants") vs. Sterne Agee & Leach, Inc. and John Hlcl^s ("Respondents") ATTORNEYS: For Claimants appeared Roger W. Van Deusen, Esq., Van Deusen & Wagner, LLC, Cleveland, OH. For Respondents appeared Ronald G. DeLuca, E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen B. Grayer vs. A. B. Watley Direct, Robert F. Malin, Stephen Malin, A. B. Watley, Inc. and Integrated Clearing Sotutions, Inc. Case Number: 08-00085 Hearina Site: New York. New Yorlc Nature of the Dispute: Associated Person vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Stephen B. Grayer hereinafter refened to as "Claimant" appeared pro se. Previo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Frank Wallace (Claimant) vs. Salomon SmKh Bamey a/k/a Citigroup Global Markets, Inc. (Respondent) Case Number: 05-02062 Hearing Site: New York, New Yoric Nature of the Dispute: Associated Person vs. Memt)er. REPRESENTATION OF PARTIES Claimant Frank Wallace hereinafter referred to as "Claimant": Louis Aidala, Esq. and Joseph P. Baratta, Esq., Baratta, Baratta & Aidala LLP, New Y