AWARD FINRA DISPUTE RESOLUTION CASE: 10-03736 Morgan Keegan & Co. Inc. "Claimant" vs. Marcelo Ivan Jacir "Respondent" REPRESENTATION OF PARTIES: For Claimant: William McCourt Schmitt, Jr., Vice President, Associate Attorney, Morgan Keegan & Co. Inc., Memphis, Tennessee. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 19, 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of promissory

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04669 Thomas L Lewellen, individually and as TTEE of Thomas L. Lewellen Do PA dtd 10/1/80 Vida Faye Hill Thomas L. Lewellen and Mary Lewellen c/f Matthew Lewellen UGMA/AR Name of the Respondent Hearing Site: Little Rock, Arkansas Morgan Keegan & Company Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTI

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05925 Thomas Matchner Respondents Hearing Site: San Diego, California Uvest Financial Services Group, Inc. Mark Andrew Sibert M-Cubed Consulting, LLC Nature of Dispute: Customer vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant, Thomas Matchner, hereinafter refenred to as "Claimanf: Eric J. Benink. Esq

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02724 Jawaid Murtaza Name of the Respondent Hearino Site: Los Angeles. California Charles Schwab & Co., inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Jawaid Murtaza. hereinafter refenred to as "Claimanf: Jawaid Murtaza. Laguna Niguel. California. Respondent, Charles Schwab & Co., Inc., hereina

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00640 Lawrence Ngou Name of the Respondents Hearing Site: Los Angeles, California DeWaay Financial Network, LLC Lawrence Michael Labine a/k/a Larry Labine Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Lawrence Ngou: Peter Brown Dolan, Esq., The Dolan Law Firm, Los Angeles, Cali

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04015 Morgan Stanley Smith Barney LLC (Claimant) vs. Peter L. Jelstrom (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared August "Jamie" H. Schupp, Esq., Morgan Stanley Smith Barney, Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: September 7, 2010. CASE SUMMARY: Claimant asserted the following cause of action: breach of

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03356 Gerald Krovatin and Anna Quindlen (Claimants) vs. TD Ameritrade Clearing, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Gerald Krovatin, New York, NY. For Respondent appeared Hollie M. Mason, Esq., TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customers v. Member DATE FILED: July 26, 2010 CASE SUMMARY: Claimants alleged that their order was not executed at the price that was

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02926 Joseph Anthony Ziellnski (Claimant) vs. Joseph C. Caruso (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Cherry Hill, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: June 21, 2010 CASE SUMMARY: Claimant asserted the following cause of action: unearned investment management fees. Claim Data Award Data

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02327 Richard Y. Cain (Claimant) vs. Wachovia Securities LLC and Paul Ross (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Hilliard, FL. For Respondents appeared Judy Louie, Esq., Wells Fargo Advisors, LLC, Pasadena, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: IVlay 11.2010 CASE SUMIVIARY: Claimant seeks damages for fraud, specifically for claims that Respo

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul J. Panagios, Konstantina C. Panagios, Pauline Chilakis and Konstantina C. Panagios, and Konstantina C. Panagios and Pauline Chilakis ("Claimants") vs. Charies Schwab & Co., Inc. and Kimon Daifotis ("Respondents") Case Number: 09-04602 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Clai