Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Wechsler and Amy Wechsler (Claimante) vs. E*Trade Securities LLC (Respondent) Cgse Number 09-02871 Hearina Site: New Yoric, New Yoric Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimante David Wechsler ("D. Wechsler^) and Amy Wechsler ("A. Wechsler'), hereinafter collectively refened to as "Claimante": David E. Robbins, Esq., Kaufmann, Glldin

Award FINRA Dispute Resolution In the Matter of the Artsltration Between: SMH Capital Inc. f/k/a Sanders Morris Hanis, Inc. (Claimant) vs. Patricia Bonavlto (Respondent) Cass Number 09-04266 Hearing Site: New Yoric, New Yori^ Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant SMH Capital Inc. f/k/a Sander Mom's Harris. Inc. ("Claimant''): Andrew R. Han/in, Esq., Doyle, Restrepo, Harvin & Robbins, L.L.P., Houston,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Frederick Visconti and Mary Visconti (Claimants) vs. Fahnestock & Co. (n/k/a Oppenheimer& Co., Inc.) (Respondent) Case Number: 09-04809 Hearing Site: New Yori< , New Yoric Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Frederick Visconti ("F. Visconti") and Mary Visconti ("M. Visconti"), hereinafter collectively refened to as "Claimants": Richard

Aaranl HNRA Dteputo ResoUon to ttie Matter of ttie Art)ttratton Between: Cteimante Caaa Number 094)2726 Bnica E. Hughes and Bmca E. Hughes as Tnwtae of ttia Marie F. Bryant Testamentary Tnist Raanondente Hearing Stta: Denver, Cotorado Wels Fargo Inveabnsnte, LLC ChariottaM. Mater Natore of ttw Dispute: Customere vs. Member and Assodated Person REPRHEfFftTTOfl W PftBTIH Clainiants, Bnioe E. Hughes ("Hughes') and Bruce E. Hughes as Tmstee o

Aanrd HNRA Dteputo Rsaoimion to ttie Matter of ttia Arbibatton Between: Claimant Case Number 09412703 WHam E. Totoon, IndMdualy and as Tmstae of ttie WMam E. Totoon 2006 Rav IntBF- Vivos Treat U/A DTD 03/17y2006 Reapondente Hearing Site: San Frandsco, Calfomte Wachovte Capttdi Mariwte, LLC Howard Barry Peariman NatoreofttiaDlapute: Customsr vs. Msmber and Asaodatod Person REPRESENTATION OF PARTIES Claimant, WHam E. Toteon, IndWMualy and a

Award FINRA Dteputo Resolution In ttie Matter of ttie Arbitration Between: Cteimante Case Number. 08-04049 Nornian Christiansen Elten Christianaon Respondente Hearing Site: Denver, Cotorado Morgan Keegan & Company, inc. William F.Wolbrecht Morgan Asset Management, Inc. RMK Multi-Sector High Income Fund, Inc. RMK Setect High Income Ctesa-A Nature of the Dispute: Customers vs. Member, Assodated Person, and Non-Members REPRESENTATION

Award FINRA Dteputo Resolution In the Matter of the Arbitration Behiveen: Cteimant Case Number 08-04373 Marina Braun Respondente Hearing Site: Portiand, Oregon Wachovte Securities, LLC Julian Albert Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Marina Braun, hereinafter referred to as "Cteimant": Justine Fischer, Esq., Justine Fischer Attomey at Law, Portiand, Oregon. Respondente,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Nurriber: 09-02992 Martin J. Fischer Respondente Hearing Site: Reno. Nevada Edward Jones and Company Joseph Henry Lushina Third Party Clalmante Edward Jones and Company Joseph Henry Lushina Third Party Respondent Andrea Fischer Nature of the Dispute: Customer vs. Member and Associated Person Member and Associated Person vs. Customer REPR

Award FINRA Dteputo Resolution In the Matter of the Arbitretion Between: The Maximillian H. Miltzlaff Revocable Trust, Christlen A. Ducicer TTEE (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number: 09-02255 Hearing Site: New Yori(, l^ew Yori( Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant The Maximillian H. Miltzlaff Revocable Tmst, Christien A. Ducker TTEE hereinafter referred to as "Claimanf: Richard

stipulated Award FINRA Dispute Resolution In tiie Matter of the Arbitretion Between: Wachovia Securities, LLC (Claimant) v. Mare CapKal, LLC and Ronald Feldstein (Respondente) Case Number: 09-02035 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter refened to as "Claimant": Joel E. Davidson, Esq. and Carios Ricca, Esq., Davidson & Grennum LLP, Orange