AWARD Award Data Award: $19,735.23 Interest: at the rate of 4.35% per annum from March 6, 2009 until the Award is paid Costs: $3,789.76 Costs: $1,050.00 AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant compensatory damages of $19,735.23. 2) Respondent is liable for and shall pay to Claimant interest

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01792 Sara Jo Hosey (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared R. Allen Kilgore, Jr., Esq., Kilgore Firm LLC, Birmingham, AL. For Respondent appeared Suzanne H. Bertolett, Esq., Sutheriand Asbill & Brennan LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 14, 2010 CASE SUMMARY: Claimant asserted the following causes of actio

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant International Capital Management Company vs. CaseNumber: 08-02639 Hearing Site: Chicago, Illinois Names of Respondents Bear, Steams & Co., inc. n/k/a J.P. Morgan Securities, Inc., Bear Stearns Asset Management, inc.. The Bear Stearns Companies, Inc., Ralph R. Cioffi, Jr., Matthew Tannin, Raymond McGarrigal. and Norman Lang NATURE OF THE DISPUTE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-07021 Citigroup Global Markets, Inc. Name of the Respondent Hearina Site: Washington, D.C. Guide J. Alvarez Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. ("CGMI"), hereinafter referred to as "Claimant": Erin E. Mac Avoy, Esq., Alonso, Andalkar & Kahn, P.C, New York, N

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02975 Bernard Sussman, as Trustee of the Bernard Sussman IRA and as Trustee of the Bernard Sussman Revocable Trust Account Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. a/k/a Smith Barney. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ber

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04028 Phyllis S. Williams, Trustee of the Phyllis S. Williams Revocable Trust under agreement dated October 3, 2008 Phyllis S. Williams, as owner of her Rollover IRA Phyllis S. Williams, individually Name of the Respondent Hearinq Site: Tampa, Florida Charies Schwab & Company, Inc. Nature of the Dispute: Customer vs. Member.

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01639 Willard J. Friedman on behalf of the Willard J. Friedman IRA and the Willard J. Friedman, SEP IRA Name of the Respondent Hearing Site: Boca Raton, Florida Brewer Financial Services, LLP Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Willard J. Friedman on behalf of the Willard J. Friedman lIRA and

AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of Claimants Tom A. Ceniglis, Sr. and Reba M. Ceniglis vs. CaseNumber: 09-04391 Hearing Site: Dallas, Texas Names of Respondents Morgan Stanley & Co., Incorporated, Dale F. Johnson, Jr., and William R. Atwood, Jr. NATURE QF THE PI8PWTE Customers vs. Member and Associated Persons REPRESENTATIPN PF PARTIES Tom A. Ceniglis, Sr. and Reba M. Ceniglis ("Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05246 FTB. LLC GC&KB Investments, Inc. Name of the Respondent Hearing Site: New Orleans, LA Morgan Stanley Smith Barney Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For FTB, LLC and GC&KB Investments, Inc., hereinafter referred to as "Claimants": Stephen D. Marx, Esq. and Brandon L. Bennett, Esq., Chehard

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dan Salamie vs. Case Number: 09-03880 Hearing Site: Charleston, West Virginia Names of Respondents TD Ameritrade, Inc., and Bruce P. Conrad NATURE OF THE DISPUTE Customer vs. Member and Non-Member REPRESENTATIQN OF PARTIES Dan Salamie ("Claimant") was represented by Richard Neely, Esq., Neely & Callaghan, Charieston, West Virginia until on or