Stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-04156 Morgan Keegan & Co., Inc. Name of the Respondent Hearina Site: Atianta, Georgia Christopher J. Wilson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Claimant Morgan Keegan & Co., Inc.: William McCourt Schmitt, Vice President and Associate Attorney, Morgan Keegan & Co., Inc., Memphis

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03654 Raymond James Financial Services, Inc. (Claimant) vs. Joel Archer (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jennifer R. Seltenrich, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, MA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 13, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark Evan Liebowitz (Claimant) vs. Pruco Securities, LLC (Respondent) Case Number: 10-02619 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Mark Evan Liebowitz, hereinafter referred to as "Claimant": Stephen R. Bosin, Esq., River Edge, NJ. Respondent Pruco Securities, LLC, hereinafter referred to as "Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Paulsen as Power of Attorney for Ruth Paulsen (Claimant) vs. Wachovia Securities, LLC and Evergreen Investment Services, Inc. (Respondents) Case Number: 08-03963 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant David Paulsen as Power of Attorney for Ruth Paulsen, hereinafter referred to as "Claimant": Herbert

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01182 Howard M. Semones Names of the Respondents Hearing Site: Richmond, Virginia Edward Jones Paul J. Curran Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Howard M. Semones, hereinafter referred to as "Claimant": Kevin W. Holt, Esq., Gentry Locke Rakes & Moore, LLP, Roanoke, Virgi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06267 Arthur L. Rodriguez Name of the Respondent Hearing Site: Tampa, Florida Morgan Stanley Smith Barney, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Arthur L. Rodriguez, hereinafter referred to as "Claimant": Robert C. Stokes III, Esq., Robert C. Stokes III, P.A., Tampa, Florida. For Morgan Stan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05421 Randall Fausak Name of the Respondent Hearing Site: New Orleans, Louisiana Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Randall Fausak, hereinafter referred to as "Claimant": Adam J. Gana, Esq.. Napoli Bern Ripka, LLP, New York, New York. For Morgan Keegan & Co.. Inc., h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00500 Marcia R. Sternlieb Names of the Respondents Hearing Site: Clearwater, Florida Brookstreet Securities Corp. National Financial Sen/ices, LLC Stanley Brooks The Brooks Family Trust Jason Woessner Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For Marcia R. Stern

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Joseph Morrow (Respondent) Case Number: 10-04310 SITUS: Hartford, Connecticut. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: Claimant Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Fiore & Levine, PLLC,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02508 Joseph Mendola (Claimant) vs. The Citigroup Private Bank (Respondent) REPRESENTATION OF PARTIES: For Claimant Marc A. Susswein, Esq., Liddle & Robinson, L.L.P., New York, NY. For Respondent appeared Ira G. Rosenstein, Esq., Orrick, Herrington & Sutcliffe LLP, New York, NY. NATURE OF DISPUTE: Non-Member v. Non-Member DATE FILED: May 27, 2010 CASE SUMMARY: Claimant asserted the following causes of action: u