AWARD FINRA DISPUTE RESOLUTION CASE: 09-05755 Michael J. Sorensen and Angela F. Sorensen (Claimants) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Adam J. Gana, Esq., Napoli Bern Ripka, LLP, New York, NY. For Respondent appeared Teresa E. Adams. Esq., Parker, Hudson, Rainer & Dobbs, LLP, Atlanta, GA. NATURE OF DISPUTE: Customers v. Member DATE FILED: October 5, 2009 CASE SUMMARY: Claimants assert

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Jesup & Lamont Securities Corp. (Claimant) vs. Aaron Foley (Respondent) Case Number: 10-00038 Hearing Sfte: Boston, Massachusette Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Jesup & l-amont Securities Corp.. hereinafter referred to as "Claimant": Michael S. Colombo, StreetWide Asset Recovery Group, Inc.. Hazlet, NJ. Respondent Aaron Fo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kevin T. Grier (Claimant) vs. Keybanc Capital Markets, Inc. (Respondent) Case Number: 09-06039 Hearing Site: New York. New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Kevin T. Grier, hereinafter refenred to as "Claimant": David B. Wechsler, Esq., Wechsler & Cohen. LLP. New Yoric, NY. Respondent Keybanc Capital Maricets. Inc.. her

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00770 John J. Schmidt (Claimant) vs. Fidelity Brokerage Services LLC and Kenneth A. Finkelson (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Northbrook, IL. For Respondents appeared Michael P. Zwirko, FMR LLC, Boston, ^AA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: February 16. 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to follow

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00994 Black Rose Equity Management, LLC (Claimant) vs. Eugene L. Williams, Jr. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Sandra P. Espinosa, Esq., Lax & Neville, LLP, New York, NY. Respondent appeared pro se, Portland, OR. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 2, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract and unjust

Award FINRA Dispute ftoaolutlon In the Matter of the Arbitration Between: Names of the Claimante Case Number: 09-01592 Craig Kneisly as the Successor Trustee of the Alf Co., Inc. Retirement Truste and as Tnjstee of the Mariette Kneisly Trust Name of the Respondent Hearing Site: Memphis, Tennessee Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert Kneisly as Trustee of the Alf Co., In

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01788 UBS Financiai Services. Inc. ("Claimant") vs. Felix E. Deacon, ill fRespondenf) REPRESENTATION OF PARTIES: For Claimant UBS Financiai Services, inc.: James L Komie, Esq., Schuyler, Roche & Crisham, PC, Chicago, IL. Respondent Felix E. Deacon, ill did not appear. isJATURE OF DISPUTE: Member vs. Associated Person. DATE FILED: April 15, 2010. CASE SUMMARY: Claimant asserted the following causes of action: 1)

Award HNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Numtwr 09-01577 David Kronsbein Name of the Respondent Hearing Site: Tampa, Florida Ameriprise Financial Services, Inc. Nature of the Dispute: Associated Person vs. Memt>er. RgPREgPNTATION QF PARTIS? For David Kronsbein, hereinafter rsffanred to as "Claimanf: Vincent B. Lynch, Esq., Robblns Equttas, Lawyers & Counsellors, St. Petersburg, Florida.

STIPUU^TED AWARD FINRA Dispute Resolution In the IMatter of the Arbitration Between: Name of Claimant Laurel Blau Revocabta Trust U/A DTD 11/5/83, Joel M. Btau and Gary Biau.Trustees vs. Case Number 00-00415 Hearing Site: Chicago, Illinois Names of Resoondente Charles Schwab & Co., inc. and Kimon P. Daffbtis NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES • Laurel Blau Revocabta Tr

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Case Number 08-04247 Hearing SHe: Pittsburgh, Pennsylvania Name of Resoondent/Counter-Ciaimant Bryan Ziencik MATURE OF THgPiaPUTg Member vs. Associated Person REPRESENTATIQM OF PARTIES Meniii Lynch, Pierce, Fenner & Smith, Inc. ("Claimant" or "Merrili Lynch") was represented by Je