Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charles Agustin Severs (Ciaimant) vs. CRT Capitai Group LLC and CRT Capitai IHoidings LLC (Respondents) Case Number 09-03923 Hearing Site: New Yorl^, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Ciaimant Charles Agustin Severs, hereinafter refenBd to as "Ciaimant": Jonathan Harris. Esq.. Harris, Cutier, Cash & Houghteling

Award FiNRA Dtopute Resolutton In the Matter of the Arisibation Between: Name of ttie Ctoimant Case Number. 09-05808 Saralyn White Names of ttie Resoondente Hearino Site: Tampa. Ftorida Tina R. Hicks Edward Jones Nature of the Dispute: Customer vs. Member and Assodated Person. REPRESENTATION OF PARTIES For Saralyn White, hereinafter referred to as "Claimanf: Joel J. Ewustok. Esq., Forizs & Dogali. PA.. Tampa, Ftorida. For Tina R. Hick

AWARD FINRA DISPUTE RESOLUTION In the Matter of the ArtHtration Between: Ameriprise Advisor Services, Inc. ("Claimanf) vs. l.eo Sala III f Respondent^ Case Number 10-00469 SITUS: Tampa, Ftorida NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: For Ameriprise Advisor Services. Inc., hereinafter referred to as "Claimanf: Paul T. CahHI. Esq., Kane & Fischer, Ltd.. Chicago, IHinois. Respondent Leo Sala III ("Sala") did not appea

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00714 Morgan Keegan & Company, Inc. ("Claimant^ vs. Lee J. Thorpe f Resf>ondent") REPRESENTATION OF PARTIES: For Claimant Shea O'Brien Hicks. Esq.. Morgan Keegan & Company, Inc.. Memphis. Tennessee. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: Febaiary 12.2010 CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. Claim Data Award Data

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Skidmore (Claimant) vs. HSBC Securities (USA), Inc. (Respondent) Case Number: 09-04717 Hearing Site: New York. New Yori^ Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Peter Skidmore. hereinafter referred to as "Claimant": Kristian P. Kraszewskl. Esq.. Levin, Papantonio. Thomas, Mitchell, Echsner, Rafferty & Proctor. P.A.. Pensacola, FL.. an

AWARD FINRA DISPUTE RESOLUTION CASE: 10-0183g Merrill Lynch. Pierce, Fenner & Smith Incorporated (Claimant) vs. Robert Halldin (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diane C. Fischer, Esq., Kane & Fischer, Ltd, Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: April19. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of p

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald H. Kline (Claimant) v. Stifel. Nicolaus & Co., Inc. (Respondent) Case Number 08-04725 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Ronald H. Kline hereinafter refened to as "Claimant": Nicholas J. Gulliano, Esq., The Gulliano Law Flrni, Philadelphia. PA. Respondent Stifel. Nicolaus & Co.. Inc. here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Christopher Carthew (Claimant) vs. J.P. Turner & Company L.L.C., Milestone Financial Services. Inc., John Thomas Financial, Legent Clearing, and Eric C. Gretchyn (Respondents) Case Number: 09-01178 Hearing Site: New Yori^, New Yorit Nature of the Dispute: Customer vs. Memt>ers and Associated Person REPRESENTATION OF PARTIES Claimant Christopher Carthew hereinafter referred to as

AWARD nNRA Dtepute Reeohrtion In theMelterof the Arblratlon Between: Name of Claimant Morgan Stanley & Co., Incorporated vs. Case Number 09-00312 Heering She: Kansas CHy, Missouri KeWiCJtadGBon MATHBgQPTHEDJgPUTB Member VS. Assodstad Person RgREBHffATlgN OF PfflTIH Morgan Stanley & Co., Inooiporated COaHnimnO XMA repieeented by Dtane C. Fischer, Esq.. Kane & Fischer, Ltd., a\)oa^, lUinds. Keith C. JadGBon rRespondenf) did not appear.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ciaimant Case Number: 09-04184 Derrick Nesbitt Respondents Hearino Site: San Francisco, Caiifbmia Menili Lynch, Pierce, Fenner & Smith Incorporated Frankle Laine Ross Nature of the Dlsputo: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Derrick Nesbitt, hereinafter referred to as "Ciaimanf: Brian K. Hllliard, Esq., The l^w Office of Bri