AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants IHarriet H. Johnson, Robert Joseph Patton, and Jan Johnson Patton vs. Case Number: 09-06023 Hearing Site: Louisville, Kentucky Names of Respondents Morgan Keegan & Company, Inc., and Joseph Todd Stricldin NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Harriet H. Johnson, Robert Joseph Patton, and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00406 Oppenheimer & Co. Inc. Name of the Respondent Hearing Site: Fort Lauderdale, Florida Van G. Zovluck Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Deborah Dickstein, Esq., Oppenheimer & Co. Inc., New York, New York. Van G. Zovl

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02498 Dean and Tonia Kaufman (Claimants) vs. Interactive Brokers LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, West Conshohocken, PA. For Respondent appeared Juli Ann Aylesworth, Esq., Interacfive Brokers LLC, Greenwich, CT. NATURE OF DISPUTE: Customers vs. Member DATE FILED: May 25, 2010 CASE SUMMARY: Claimants asserted the following cause of action: breach of duty. The cause of ac

AWARD FINRA Dispute Resolution In the Matter of the AriDitration Between: Names of Claimants Ted E. Gaty, III, Ted E. Gaty as Trustee for the Allene Hatch Trust, Annabelle Gaty, Craig Caudill, Individually & as Custodian of his IRA, Jo Ann Caudill, and Allene G. Hatch, Individually & as Custodian of her IRA vs. Name of Respondent Morgan Keegan & Company, Inc. Case Number: 09-04135 Hearing Site: Indianapolis, Indiana NATURE OF THE DISP

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-02258 Nancy Butler Estate of Thomas Warren Butler Name of the Respondent Hearing Site: Nashville, TN Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Nancy Butler and Estate of Thomas Warren Butler, hereinafter collectively referred to as "Claimants": K.O. Herston, Esq., Her

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ensco International Incorporated vs. Case Number: 09-05032 Hearing Site: Dallas, Texas Name of Respondent Jeffries & Company, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Ensco International Incorporated ("Claimant") was represented by Robert L. Wright, Esq., Robert L. Wright, P.O., Fort Worth, Texas. Jeffries & Co

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02393 Morgan Keegan & Co., Inc. ("Claimant") vs. Michael A. Leichman ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Shea O'Brien Hicks, Associate Attorney and William M. Schmitt, Jr., Associate Attorney, Morgan Keegan & Co., inc., Memphis, TN. Respondent did not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATEFILED: May 19,2010. CASE SUMMARY: Claimant asserted the cause of a

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Name of the Claimant Case Number: 09-01054 Merrill Lynch, Pierce, Fenner & Smith Incorporated Names of the Respondents Hearing Site: Tampa, Florida David Manno James Okun Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Menill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Olga Y. Wayne,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01002 Freecharm Limited Names of the Respondents Hearing Site: Miami, Florida Atlas One Financial Group, LLC Atlas Wealth Holdings Corporation Atlas One Capital Management, Inc. Gustavo E. Hegewisch Jorge Garcia-Garcia Flavio A. Lobato Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTA

Award FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04276 James D. Murphy Name of the Respondent Hearina Site: Tampa, Florida Citigroup Global Markets, inc. Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For James D. Murphy ("Murphy"), hereinafter referred to as "Claimant": Robert K. Savage, Esq., The Savage La