Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Keith A. Grice, Individually and as personal representative for the Estate of J. Max Grice Roger D. Weed Dr. IHoward L. Brazil J. D. Russell Joyce Russell Name of the Respondent Morgan Keegan & Company, Inc. Case Number: 07-02010 Hearino Site: Birmingham, Alabama Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PAR

STIPULATED AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Purita Mackey, Individually and as Trustee of the Purita Mackey Trust vs. Case Number: 07-00340 Hearing Site: Chicago, Illinois Names of Respondents Edward D. Jones, LLP and Jonathan Allen Zulauf NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Purita Mackey, Individually and as Trustee of

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants William A. Capron and Kimberlee R. Johnson vs. Case Number: 07-00878 Hearing Site: Detroit, Michigan Names of Respondents A.G. Edwards and Sons, Inc., John McCloskey, Jr., and James L. Carter NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES William A. Capron ("Capron") appeared pro se. Kimberlee R

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael Guess vs. Names of Respondents A.G. Edwards & Sons, Inc. and Gary Sliemers Case Number: 06-05147 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Michael Guess ("Claimant") was represented by Richard M. Kerger Esq. and Khary L. Hanible, Esq., Ker

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nicola Dellaquila (Claimant) vs. White Pacific Securities, Inc. (Respondent) Case Number: 07-01850 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Nicola Dellaquila hereinafter referred to as "Claimant": Bruce D. Oakes, Esq., SimmonsCooper, LLC, East Alton, IL. Respondent White Pacific Securities, Inc., hereinafter

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02986 James Bynum ("Claimant") vs. Investors Capital Corporation and Joseph Lionel Jones ("Respondents") ATTORNEYS: Claimant James Bynum appeared pro se, Long Island City, NY. For Respondent Investors Capital Corporation appeared James A. McGovern, Esq., Marshall, Dennehey, Warner, Coleman, Pittsburgh, PA. Respondent Joseph Lionel Jones did not submit an Answer to the Statement of Clai

AWARD FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of Claimant William G. Katz vs. Case Number: 06-02827 Hearing Site: Cleveland, Ohio Name of Respondent Citigroup Global Markets, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES William G. Katz ("Claimant" or "Katz") was represented by Dale Ledbetter, Esq.. Ledbetter & Associates, PA, Fort Lauderdale. Florida. On or about April 16, 20

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jordan P. Gates, Claimant vs. Veravest Investments, Inc., Veravest Investment Advisors, Inc., Allmerica Financial Corporation, Allmerica Investment Management Co., Allmerica Financial Life Ins & Annuity, and Michael Robert Burgoyne, Respondents Case Number: 03-08688 Hearina Site: Portland, Oregon Nature of the Dispute: Associated Person vs. Member and Non-members REPRESENTATION OF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Margaret C. Toruno Name of the Respondents Associated Securities Corp. Alliance Advisory & Securities, Inc. Case Number: 07-01889 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES Claimant, Margaret C. Toruno, hereinafter referred to as "Claimant": Richard B. Fosher, Esq., SimmonsCoope

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-02000 Duncan 3. McCandiess Respondents Hearina Site: San Francisco, California D. Vernon Willis, Associated Securities Corp. Nationwide Life Insurance Co. Security Benefit Life Ins. Co. Nature of the Dispute: Customer vs. Member, Associated Person and Non-Members REPRESENTATION OF PARTIES Claimant, Duncan McCandiess hereinafter referred to a