Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-04070 East Tennessee Neurology, P.C. Profit Sharing Plan Name of the Respondent Hearing Site: Bimiingham. Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For East Tennessee Neurology, P.C. Profit Sharing Plan, hereinafter refened to as "Claimant": Page Poerschke, E

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01113 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC vs. Fred Brown REPRESENTATION OF PARTIES: For Daimant: Renan Sugarman, Esq., Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 5,2010 CASE SUMIMARY: Claimant asserted the foHowing cause of action: breach of promissory note. Claim Data Claim: $102,186.57 Interest $5,456.88 C

Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) v. John C. Zannakis, William E. Wolfson, and Citigroup Global Markete. Inc. (Respondente) Case Number: 07-02623 Hearino Site: Philadelphia, Pennsylvania Natore of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter refened to as "Claimant": John E. MacDonald, Esq., Ste

stipulated Award FINRA Dteputo Resolution In ttie MaVtar of ttie Artittnition Between: Names of the Claimante Case Number 0&-QS418 Gerato R. Miitor, as Tmstee of ttie Gerato R. Mlltor Revocabte Trust Alba Putoam, as Trustee of ttm Fredertcic C. Putnam and Alba C. Putnam Living Trust Agrsement Eugene H, Lefebvre IRA Danny L. Beaver IRA Otto N. and Cynttite M. Bte Rafeel E. Castro IRA John S. Damioo and Mary L. Damlco Oscar Hopldns and

Award FINRA Dispute RasoluUon In the Matter of the Arbttration Between: Name of ttie Claimant Case Number 09-05916 Davkl H. Miller N^pfi^ of ttie Respondent Hearing Sfte: Attanta, Georgia Ameriprtee Financial Services. Inc. Nature of ttie Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For David H. Milter, hereinafter referred to as 'Claimant': William G. Ljoonard, Esq., Taytor English Duma LLP, Attente. Georgia. For Amer

Award FINRA Dtopute Reeolutlon In ttie Matter of ttie Artsitration Between: Names of ttie Claknante Tammte L. Lewis Tammte L Lewis as Tmstee of ttie Tammie L. Lewis Revocabte Trust WHIiam E. Lewie, Jr. ae Trustee of the Tammie L. Lewis Revocabte Trust Names of ttie Rasoondente Kattiy J. Gordon Gordon Finandai Services, Inc. TMGHoMingCo.,lnc. The Medallton Advisory Services, LLC MedalHon Investment Services, Inc. Case Number 09-045

StipulatMl Award nNRA Dispute RMolutlon In the Matter of the Arbttralion BetMeen: Name off the Claimant CffigJilyQ^fiC 09-03535 Citigroup Global Markets, Inc. d/b/a Smith Barney Name of the Respondent Hiring $lt?; Little Rock. Arkansas John Edward MartfsM Nature of the Dispute: Memt>er vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Gk)t)al Maiketo, Inc. d/ti/& Smith Bamey, hereinafter referred to as "Claimanr: Catenia Fach

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bruno Weber (Claimant) vs. JB Oxford & Company and Brian M. Schl(eryantz (Respondents) Case Number 09-07176 Hearing Site: New Yoric, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Bruno Wet3er CWeber") hereinafter refened to as "Claimant": Magdalena Fiunger, Esq., Marziilier, Dr. Meier & Dr. Guntner Attomeys, Munich, Germany.

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Invest Financial Corporation (Claimant) vs. William M. Banks (Respondent) Case Number: 09-04856 SITUS: New York, New York. NATURE OF DISPUTE: Member vs. Associated Person REPRESENTATION OF PARTIES Invest Financial Corporation hereinafter referred to as "Claimant": Luigi Spadafora, Esq., Winget, Spadafora & Schwartzberg LLP, Stanrford, CT. Respondent did not enter an appearance i

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Lynn Schecter, Jason Schecter. and Lissa Fial (Claimants) vs. Citigroup Global Marfcets, inc. d/b/a Ctti Smith Bamey, Chuclcs A. Roberts, Stephen G. Condos, and The Condos and Roberto Group (Respondente) Case Number: 0&-00294 Hearinc Site: New York, New York Nature of the Dispute: Customers vs. Member, Associated Persons, and Non-member. REPRESENTATION OF PARTIES Claimante Lynn