AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Andrew D. Drake and Paul Harden vs. Case Number: 09-01958 Hearing Site: Indianapolis, Indiana Name of Respondent Chase Investment Services Corp. NATURE OF THE DISPUTE Associated Persons vs. Member REPRESENTATION OF PARTIES Andrew D. Drake ("Drake") was represented by Gregory L. Thomas, Esq., Indianapolis, Indiana until on or about May 27,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Investment Professionals, Inc. vs. Case Number: 09-00364 Hearing Site: San Antonio, Texas Names of Resoondents/Counter-Claimants Betsy Bratton Perryman and Matthew Thomas i^arcom NATURE OF THE DISPUTE Member vs. Associated Persons REPRESENTATION QF PARTIES Investment Professionals, Inc. ("Claimant") was represented by Joseph B.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 09-06739 Charies Boone Names of the Respondents Hearing Site: Memphis, Tennessee Merrill Lynch, Pierce, Fenner & Smith, Inc. Harvey Phillip Cook Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Charles Boone, hereinafter referred to as "Claimant", appeared pro se. For Merrill Lynch,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05821 Robert D. Hoge Names of the Respondents Hearing Site: Atlanta, Georgia Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney, Inc. and Christopher M. Payne Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert D. Hoge, hereinafter referred to as "Claimant": Ro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-02030 Sam and Martha Massey Name of the Respondent Hearing Site: Memphis, TN Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sam and Martha Massey, hereinafter collectively referred to as "Claimants": H. Naill Falls, Jr., Esq., Falls & Veach, Nashville, TN. For Morgan Keegan &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01817 Karl Cross Names of the Respondents Hearing Site: Fort Lauderdale, Florida Robert Russini E-Trade Securities, LLC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kart Cross, hereinafter referred to as "Claimant": Christopher M. David, Esq., David and Joseph, P.L., Miami, FL.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01716 Bill Allen Larry D. Hammonds Culmon G. Dixon Chester E. Goff Billy Chesney Clyde E. Moseley Thomas Glenn Hulbert Richard E. Bosarge, Sr. Wilson T. Miller Jimmie J. Gammage James B. Gully James Franovich Reed A. Bond John E. Rogers, Sr. Jimmie G. Schafer Raymond Boyd Beckham Names of the Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02607 Citigroup Global Markets, Inc. d/b/a Smith Barney Name of the Respondent Hearing Site: Orlando, Florida Thomas B. Spartz Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. d/b/a Smith Barney, hereinafter referred to as "Claimant": Justin A. Goldberg, Esq. and Eri

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01835 Oren Inbar (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Irvine, CA. For Respondent appeared Julie A. Kole, Esq., San Francisco, CA and Meredith A. Faro, Esq., FMR LLC, Boston, MA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 15, 2010 CASE SUMMARY: Claimant alleged that Respondent mishandled his trailing stop loss order.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01357 Joseph Griglak (Claimant) vs. Joseph P. Riccelli (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Bound Brook, NJ. For Respondent appeared Brian A. Carlis, Esq., Stark & Stark, Princeton, NJ. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED: March 19, 2010 CASE SUMMARY: Claimant alleged that Respondent committed financial fraud by not disclosing that he could have liquidated h