Award FINRA Dtepute Reeolution In the Matter of the Arbibation Between: Claimante Caae Number 09-01937 Rina Schwarz, Indhfldually, and as Trustee of the Rina Schwarz Revocabte 1996 Truat Reapondente Hearing Site: I.08 Angetea, Califomte Indlvklual Aaset Management D. TtKxnas Zachystal interactive Brokers LLC Cross-Claimant Interactive Broilers LLC Cross-Respondente Indivklual Asset Management D. Thomaa Zachystal Nature of

Award FINRA Diaputo Reeolution In the Matter of the Art)itration Between: Claimante Case Number. 08-02800 Lim Cheng Low Lee Fang Ng Reapondente Hearino Site: San Frandaco, CaHfomte Pyramki Financial Corp. (d/b/a Wyse Securities) Fengjui Sun Hsu (a.k.a., "Nancy Sun") John Hau Nature of the Disputo: Cuatomers va. Member and Aasociated Persons REPRESENTATION OF PARTIES Claimante, Um Cheng Low f Low^ and Lee Fang Ng fNg"), hereinafter col

Award FINRA Dtepute Resolution In the Matter of the Arbitratton Between: Clalmanta/Counter-Reapondente Caae Number 08-01327 AmnonKawa Annva HokJinga, LP. Reapondente/Counter-Ctelmante Hearing Site: Loa Angetea, CalHbmte Shiomo S. Eplbolm Michael Aldde Poutre, II Eplbolm, Poutre & Co. Nature of the Disputes: Customers vs. Associated Persona and Non-Member Associated Persons and Non-Member vs. Cuatomera REPRESENTATION OF PARTIES

Award FINRA Dispute Resolutton In the Matter of the Arbitration Between: Claimant Case Number: 08-01412 Gerard Chang Respondente Hearing Site: San Francisco, Calrfomla Citigroup Global Marinate, inc. Citigroup Smitii Barney, Inc. Deborah J. Tharp Paul D. Katemdahl Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Persons REPRESENTATION OF PARTIES Claimant, Gerard Chang: Pro Se, San Francisco, Callfomia Respond

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01109 Morgan Stenley Smith Barney LLC fClaimant") vs. James H. Sumpter ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Mauricio S. Beugelmans, Esq., Cole-Frieman & Beugelmans, LLP, New Yoric. NewYoric. Respondent dkl not appear. NATURE OF DISPUTE: Member v. Associated Pereon. DATE FILED: March 5, 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. Claim Date A

Award FINRA Dtepute Reaolution In the Matter of the Aristtration Between: Name of ttie Claimant Case Number 09-00078 Manrin E. Bruce, Trustee of the Mannn E. Bruce Living Trust Name of the Respondent Hearing Stte: Memphis, Tennessee Morgan Keegan & Company, inc. Nature of tiie Dispute: Customer vs. Memt>er. REPRESENTATION OF PARTIES For Man/in E. Boice, Trustee of the Marvin E. Bruce Living Trust, hereinafter referred to as "Claimanf: And

Award FINRA Dlaputa Reaoiutlon In the Matter of the Arbitration Between: NameoftheClaimani Case Number: 09-02853 Richard C. Osman Names of the Respondents Hearing Site: Battimore, MD James O. Wesiow Richard Michael Plant, Jr. Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Richard C. Osman, hereinafter referred to as "Claimant": Janet K. DeCosta, Esq., The Law Offices of Janet K. DeCosta, Wash

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00923 Dawson James Securities, Inc. (Claimant) vs. Clifford Schwartz (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Albert J. Poliaic, Dawson James Securities, inc., Boca Raton, FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 1,2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Registered Re

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00783 Wells Fargo Advisors, LLC, formerly known as Wachovia Securities LLC (Claimant) vs. James Miller (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared l\1ichaei S. Colombo, StreetWide Asset Recovery Group, inc., Haziet, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 18, 2010 CASE SUMMARY: Claimant asserted the foll

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00455 Patricia P. Kaufman (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates LLC. Atlanta, GA. For Respondent appeared Ryan R. Baicer, Esq., Bass, Berry & Sims, PLC, Memphis, TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 27,2010 CASE SUMI^RY: Claimant asserted the following causes