Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Grand Circle LLC (Claimant) vs. CCO Investment Services Corp. (Respondent) Case Number: 09-06454 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Grand Circle LLC hereinafter referred to as "Claimant": Thomas J. Butters, Esq., Butters Brazilian LLP, Boston, MA. Respondent CCO Investment Services Corp., hereinafter

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02889 Juliet Baruch (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Robert Talbot, Esq., and Anne Ho, University of San Francisco School of Law, Investor Justice Clinic, San Francisco, CA. For Respondent appeared Elizabeth E. Mourn, Esq., Greenberg Traurig, P.A., West Palm Beach, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 18, 2010 C

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02506 Poppie Phillips, Individual and Roth IRA (Claimants) vs. Chase Investment Services Corp. f/k/a Wamu Investments and Joseph Liddell (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Michael Clutter, Esq., Atianta, GA. For Respondents appeared Edward J. McNamara, Esq., Chase Investment Services, Corp., Chatsworth, CA. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: May

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02346 Trident Partners LTD. (Claimant) vs. Brian Martinson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William Quigley, Trident Partners, LTD., Woodbury, NY. Respondent appeared pro se, Happauge, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 17, 2010 CASE SUMMARY: Claimant asserted the following cause of action: reimbursement of customer settlement. Claim Data Awar

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02289 Deborah A. Moller (Claimant) vs. Scottrade Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sunny Isles Beach, FL. For Respondent appeared Neil P. Murphy, Esq., Murphy & Anderson, P.A., Jacksonville, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 10, 2010 CASE SUMMARY: Claimant alleged damages as a result of Respondent's failure to notify her that she could have placed

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03358 Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. David Bredenburg SITUS: Baltimore, Maryland REPRESENTATION OF PARTIES: For Merrill Lynch, Pierce, Fenner & Smith, Inc., hereinafter referred to as "Claimant": Jeffrey F. Manzella, Esq. and Gregg W. Marsano, Esq., Rubin, Fortunate & Harbison, P.C, Paoli, Pennsylvania. David Bredenburg, hereinafter referred to as "Respondent," did not appear. NATURE OF DISPUTE

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00553 Ameriprise Financial Services, Inc. vs. Harrison Blackwell SITUS: Columbia, South Carolina REPRESENTATION OF PARTIES: For Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Edward A. Waiton, Esq., Ameriprise Financial Services, Inc., Detroit, Michigan. Harrison Blackwell, hereinafter referred to as "Respondent," did not appear. NATURE OF DISPUTE: Member vs. Associated Person. DATE

Award FINRA Diaputa Reaolutlon In the Matter of the Adsitratlon Between: Names of the Claimants Case Number 09-06740 John A. Robinson Sara L. Robinson Names of the Respondents Hearing Site: Birmingham, Alabama Morgan Keegan & Company Inc. Christopher Lawrence Cowing Regions Financial Corporation Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For John A. Robinson and Sara L. Robi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05998 Patrick A. Morris Names of the Respondents Hearing Site: Atlanta, Georgia E*Trade Securities, LLC and E*Trade Clearing, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Patrick A. Morris, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Law Offices of Debra G. Speyer, Bala Cynwyd, Pe

Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Name of the Claimant Case Number: 09-05922 Alicia Cofresi-Vila Names of the Respondents Hearing Site: San Juan, Puerto Rico Popular Securities, Inc., Morgan Stanley & Co. Incorporated and Miguel Suau Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Alicia Cofresi-Vila, hereinafter referred to as "Claimant": Rafael E. Lu