Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00469 Phoenix Energy Corp. Names of the Respondents Hearing Site: Bimiingham, Alabama Morgan Keegan & Company, Inc. Steve Kellough Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Phoenix Energy Corp., hereinafter referred to as "Claimant": Thomas Michael IHobson, Esq., Johnson & IHobson

Award FINRA Dispute Resolution In the Matter of the Arisltration Between: Claimant Case Number: 07-01662 Banc of America Investment Services, Inc. Respondent Hearing Site: Phoenix, Arizona Donna Shurot Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Sen/ices, Inc. hereinafter refened to as "Claimant": Gregory Simon, Esq., Kane & Fischer, Chicago, Illinois. Respondent, Donna Sh

Award FINRA Dispute Resolution In the Matter of the Affoitration Between: Name of the Claimant John W. Jarvis Case Numt)er 08-00074 Name of the Respondent Peter A.5chopen Hearing Site: Denver, Colorado Name of Counter-Claimant Peter A. Schopen Name of Counter-Resoondent John W. Jarvis Nature of the Dispute: Associated Person v. Associated Person Associated Person v. Associated Person REPRESENTATION OF PARTIES Claimant/Cou

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Steven R. Lare vs. Case Number: 08-01418 Hearing Site: Detroit, Michigan Names of Respondents The Huntington Investment Company and Joseph A. Klein NATURE OF THE DISPUTg Customer vs. Memt>er and Associated Person REPRESENTATION OF PARTIES Steven R. Lare ("Claimant") appeared pro se. The Huntington Investment Company ("HlC") and Joseph A. Kle

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Cobra Trading, Inc. vs. Name of Respondent Beveriy Ann Miinar Case Number: 08-01564 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Member vs. Customer Cobra Trading, Inc. ("Claimanr) was represented by Bradley M. Orschel, Esq. and Richard Wilson, Esq., Maslon, Edelman, Borman & Brand, LLP, Minneapolis. Minnesota. Beveriy Ann Miin

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Amerjprise Financial Sen/ices vs. Name of Respondent Richard Porter McCrea Case Number: 08-00951 Hearing Site: Cleveland, Ohio Member vs. Associated Person REPRESl Ameriprise Financial Services ("Claimant") was represented by Will Stute, Esq.. Faegre & Benson, LLP, Minneapolis, Minnesota. Richard Porter McCrea ("Respondent") appeared pro se.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03938 Estate of Ellen Tangeman Murphy Names of the Respondents Hearing Site: Tampa. Florida First Montauk Securities Corp. Jan E. IHaynes Dunham & Associates Investment Counsel, Inc. Jeffrey A. Dunham Robert Mercado. Jr. Arthur J. Lewis Nature of the Dispute: Custon^r vs. Member, Non-member and Associated Person. REPRESENTATI

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00811 Mary Jo Bickerstaff Name of the Respondent Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mary Jo Bickerstaff, hereinafter referred to as "Claimant": Andrew Stoltmann. Esq., Stoitmann Law Offices, P.C, Chicago, Illinois. For Morgan Keegan &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-03093 Charies Mllfbrd Satterfleld Respondents Hearino Site: Houston, Texas Bernard Elmer Young Pamela Jean Beckstrom Daniel Thomas Bogar Stanford Group Company Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant. Charies Mllford Satterfield, hereinafter refen^ to as "Claimant": Charies

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number 07-02717 Ronald W. May Kathryn R. Chapman Name of the Respondents: Hearing Site: San Diego, Callfbmla Linsco/Private Ledger Corp. Michael H. McClellan Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Ronald W. May and Kathryn R. Chapman hereinafter collectively refen^d to as "Cla