Award FINRA Dtoputo Reeolution In ttie Matter of the Arbttratton Between: N^me of ttia Claimant Case Numban 09-02380 Joel M. Rappoport Names of ttie Respondente Hearino SHa: Oriando, Ftorida Banc of America Investment Services Tim rnmottiy] Monahan ftatore of the Diepute: Customer vs. Member and Assoctoted Person. REPRESENTATION OF PARTIES For Joel M. Rappoport, hereinafter refened to as "Ctoimant": Charies L. Stambaugh, Esq.. Stambaugh &

Award FINRA Diaputo Raaoitition In ttie Matter of ttia Arbitration Between: Nama off ttie Ctelmant Case Number 09-01573 Morgan Keegan & Company Inc. Name off ttie Raaoondent Hearing Site: Oriando, Ftorida Paul Peter Kotoa Nature off the Dtoputo: Member ve. Aeeoctoted Person. qePPBSEMTATON OF PABTIES Fbr Morgan Keegan & Company Inc., hetetoaftor retorred to ae "Ctoimanf: CoHeen M. Fitzgerald, Eeq., Gray^Roblnson, Tampa, Ftorida. Fbr Paul P

StIputoted Award FINRA Dtoputo Reeolutlon to ttw Matter of ttw Art)ttratfon Between: Ctoimant Banc of America Inveebnent Servioee, Inc. RWPOTtoH Marie R. Emberton Caee Number 0frO3507 Hearino SHe: Phoenix. Arizona Nature of ttw Dteputo: Member ve.Aseoclated Person Ctatownt, Banc of America Inveebnent Seraicee, Ina. hereinafler referred to ae "Claimanr or 'BAr: Dtane C. Ftecher, Eaq.. RonaU P. Kane. Eaq., and Paul T. CahiV. Eaq., Kane & Fieche

Awaitf FHiRA Dteputo Reeobilloii to the Matter of ttie AriMtrafion BelweaiK Roberta Furst Inveetor Clout an Arizona Partnerahlp CaieNumhef. 104)0624 Hearing ate: Phoanbc, Artaona Mortgagee LM. Securittee, I^LC. Nature of ttie Dtepute: Aaaoctoted Pereon and Non-Member va,lilember BBPRBBIITAIIONOFPARUM Ctotoiants. Robert O. FUrat fFurer) and tovestor Clout, an Arleona Partnership ftoveetor Ctoutl,herelnaltor refened to ae "Ctoimanto"^ Robert O.Rjra

Award FINRA Diepute Reeolutton In the Matter of the Aibitration Between: Claimant £aS&Mjm!2SQ 08-02674 Lany J. Osborne Respondente Hearing Site: Phoenix, Arizona Chase Investment Services Corp. Steven Campbell Counter-Cteimants Chase Investment Sen/ices Corp. Steven Campbell Counter-Respondent Lany J. Osborne Nature of the Dispute: Associated Person vs. Member and Associated Person Member and Associated Person vs. Member

Award FINRA Dispute Resolution in the Matter of the Arisftration Between: C. Albert Parente and Julia Parente (Claimante) v. Menill Lynch Pierce Fanner & Smtth, Inc. (Respondent) Case Number 09-01481 Hearing Stte: New Yoric. New Yoric Nature of the Dispute: Customers vs. Memk>er. REPRESENTATION OF PARTIES aaimante C. Albert Parente ("A. Parente") and Julia Parente ("J. Parente"), hereinafter collectively referred to as "Claimants": Kevin Galbraith. E

Award FINRA Dtoputo Reeolutlon In the Matter of ttie Aristtration Between: Name of ttw Claimant Case Number: 09-04514 Virginia Kaye Coriey Names of ttie Respondente Hearing Sfte: AUanta, Georgia Wachovto Securities. LLC Scott Alan Ttttte KathyDaisey Marie Moore Steve Keltoher Kim Thomas Kristin Sarafinis Luther Reames James Stentoy Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PART

Award FINRA Dtoputo Reeohrtton In ttie Matterof ttie Artattratton BetMfeen: NamMofttwClatoiante £|S&Mym!2SC 08-04312 Esberaido Martinez and Olga M. Martinez Names off ttw Respondente H??lflnfl SWff; San Juan, Puerto Rico Cttigroup Global Mariceto, Ina Alberto Perez Nature of the Dispute: Customer vs. IMember and Associated Person. REPRESENTATION OF PARTIES For Esberaido Martinez and Olga M. Martinez, hereinafler collectively refened to as

Award RNRA Dtoputo Reeolutlon In ttie Matter of the Arbttratton Between: Names of ttie Claimanto Case Number 08-03677 Rose MIniaci as Trustee of the Rose Mlniad Revocabto Tnjst Beatriz Mlntod aa Tnjstee of ttie' Beatrtz Mlniad Revocable Tmat Dominick Miniad as Trustee of the Domintek Miniad Revocable Tnist Att)ert Mtolad as Trustee of ttie Albert Miniad Revocable Trust Paramount Vending, Inc. Nama of ttie Respondent Hearing Sfta

Awird RNRA Dispute RMolutlon In the Matter of the Artritration Between: NamegQfthaClaimantB Case Number: 08-00504 William D. Helton Steven D. Helton FredO.KeHy Wiliam F. MHIer, Jr. Names of the Respondents Hearing SHa: BInnlngham. AL Morgan Keegan & Co., Ina RMK Advantage Income Fund, Inc. RMK Strategic Income Fund, Ina RMK High Income Fund, Ina RMK MuM Sector High Income Fund, inc. Mofgan Asset Management, Ina Regions Fin