Award FINRA Dispute Resolution ,i.JLL.llimii... U).ll.....m'.U. U. A l IMIHIU... Jill..!.. ]]J.|]|| ILII III In the Matter of the Arbitration BehA^een: Stamatis Astras (Claimant) vs. Mercer Capital LTD, Joseph Omar Gebron, and Buckman, Buckman & Reid, Inc. (Respondents) Case Number: 10-00059 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Stamatis Astras, hereina

Award FINRA Dispute Resolution In the Matter of the Arijitration Between: Claimant Case Number: 10-03778 Joe Stapleton Respondent Hearing Site: Oriando, Florida Wells Fargo Advisors, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Joe Stapleton, hereinafter referred to as "Claimant": Robert W. Elton, P.L., Attorney and Counselor at Law, Dayton Beach, Florida. For Wells Fargo Advisors, LLC, hereinafter referred to

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Behween: Names of Claimants Carroll R. Ray, on behalf of WCR Family Limited Partnership and The Wilhelmina R. Smith Estate vs. Case Number: 09-03627 Hearing Site: Houston, Texas Name of Respondent Morgan Keegan & Company, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Carroll R. Ray, on behalf of WCR Family Limited Partnership and The Wilhelm

AWARD FINFtA Dispute Resolution In the Matter of the Arbitration Behween: Name of Claimant Morgan Stanley & Co., Inc.. as Successor-in-interest to Morgan Stanley DW. Inc. vs. Case Number: 10-04594 Hearing Site: Chicago, Illinois Name of Respondent Dennis Metter NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., inc.. as Successor-in-interest to Morgan Stanley DW. Inc. ("Claimant") was

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jane Ann McVey vs. Case Number: 09-05036 Hearing Site: Indianapolis. Indiana Names of Respondents Sagepoint Financial. Inc.. American General Securities. Inc.. and Clyde A. Benninghoff and Name of Third-Partv Claimant Clyde A. Benninghoff vs. Names of Third-Partv Respondents Alicia D. Rasche and Lawrence A. Rasche NA

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Beh/veen: Name of Claimant Kevin W. Swallow vs. Names of Respondents Interactive Brokers, LLC and Timothy J. Collins and Name of Third-Partv Claimant Interactive Brokers, LLC vs. Names of Third-Partv Respondents Clarus Capital Partners, LLC and Timothy J. Collins Case Number: 10-02903 Hearing Site: Kansas City. Missouri NATURE OF THE DISPUTE Custome

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 10-01700 R. Kent Emigh. individually and as Trustee of the R. Kent Emigh Trust UA DTD 1/31/86 Respondents Hearing Site: San Francisco, California Wedbush Securities Inc. Lisa Ann Gallo Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant. R. Kent Emigh, Individually and as Trustee of the R. Kent Emigh T

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jay Moskowitz (Claimant) vs. BBS Securities, Inc. (Respondent) Case Number: 09-04041 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Jay Moskowitz. hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle & Robinson, LLP, New York, NY. Respondent BBS Securities, inc., hereinafter referred to as

Award FINRA Dispute Resolution in the Matter of the Arbitration Behveen: Name of Claimants Case Number: 10-00377 Anne W. Erickson Robert T. Erickson Name of Respondents Hearing Site: Seattle. Washington Strategic Capital Group LLC RP Capital LLC Ronald Jay Robertson Norman Gary Price Craig Douglas Johnsen TD Ameritrade, Inc. Nature of the Dispute: Customers vs. Members, Associated Persons, and Non-Member REPRESENTATION OF PARTIES

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Daniel M. Doyle, II vs. Name of Respondent Fifth Third Securities, Inc. Case Number: 10-05552 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Daniel M. Doyle, II ("Claimant") was represented by Roger W. Van Deusen, Esq., Van Deusen & Wagner, LLC, Cleveland, Ohio. Fifth T