AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joseph Robert Hamo vs. Name of Respondent Leona Edwards Case Number: 11-00662 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Associated Person vs. Customer REPRESENTATION OF PARTIES Joseph Robert Hamo ("Claimant') was represented by Allison Margaret Bentiey, Esq., Alan R. Miller, PC, Birmingham, Michigan. Leona Edwards ("Respondent"

AWARD FINF^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John William Phillips, Jr. vs. Case Number: 10-00178 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Daniel Gene Witham and UVEST Financial Services Group, Inc. NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES John William Phillips, Jr. ("Claimanr or "Phillips") was represented by A. Dan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Douglas M. Woodham (Claimant) vs. UBS Financial Services, Inc., (Respondent) Case Number: 10-05426 Hearing Site: New York, New York consolidated with UBS Financial Services, Inc. (Claimant) vs. Douglas M. Woodham (Respondent) Case Number: 11-01441 Hearing Site: New York, New York Nature of the Dispute: 10- 05426: Associated Person vs. Member 11- 01441: Member vs. Associated P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Bruce D. Angiolillo and Carol Angiolillo Respondent Neuberger Bennan, LLC Case Number: 10-04673 Hearino Site: New York, New York Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Bruce D. Angiolillo and Carol Angiolillo, hereinafter collectively referred to as "Claimants": Mitchell Berns, Esq., Lane Sash & Larrabee LLP, White Pl

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00280 Robert V. Blakey (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael P. Denver, Esq., Santa Barbara, CA and Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Peter Boutin, Esq., San Francisco, CA and Shea O'Brien Hicks, Esq., Morgan Keegan & Company, Inc., Memphis, TN. NATURE OF DISPUTE: Custo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ron Barry and Susan Barry (Claimants) vs. Charles Schwab & Co., Inc. and Kenneth Sean Lynn (Respondents) Case Number: 10-00721 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Ron Barry (R. Barry) and Susan Barry ("S. Barry"), hereinafter collectively referred to as "Claimants": Fred S. Clark,

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-02204 Charles Miller and Debra Miller, Individually and as Trustees for the Miller Family Trust Respondents Hearing Site: Seattle, Washington Edward Jones Aldo Michael Ciuffetelli Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Charles Miller and Debra Miller, Individually and as Trustees

Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Claimants Case Number: 10-02745 Joe Scolet Ingrid Scolet Services on the Move Respondent Hearing Site: Boise, Idaho Edward Jones Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Joe Scolet, Ingrid Scolet, and Services on the Move, hereinafter referred to collectively as "Claimants": Christopher P. Porter, Esq., Shepiierd Smith Edwards

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Michael M. Rink and Lorrie L. Rink vs. Names of Respondents PrimeVest Financial Services, Inc. and Lisa Jo Stover Case Number: 10-00899 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Michael M. Rink and Lorrie L. Rink, hereinafter collectively refe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-02550 Christian Brothers University Endowment Fund Respondent Hearing Site: Memphis, TN Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Christian Brothers University Endowment Fund, hereinafter referred to as "Claimant": Dale Ledbetter, Esq. and Adam Nativ, Esq., Ledbetter & Associates, P.A.,