AWARD FINRA Dteputo Reeolutlon In the Matter ofthe Art)itratton Between: Name of Cteimant Lois Pilten vs. Case Number. 00-01827 Hearing SHe: Omaha, Nebraska Name of Reaoondent Wachovia Securities, LLC NATURE OF THE PISPUTE Customer vs. Menik)er REPRESENTATION OF PARTIES Loto Pilten ("Cteimant") was represented by Gail E. Boliver, Esq., Boliver & Bkiwell Law Firm, Omaha, Nebraska. Wachovte Securities, LLC ("Respondenr) was represen

AWARD FMRA Dteputo Reeolutlon to ttie Matter of ttie Art)ttratfon Between: Name of Cteknant PhMp A. Henderson vs. Caae Number 09^)3352 Heering Site: Denver. Cotorado ING Fkianctel Partners, Ina end KeysETkmey Customer ve. Member and Aaaodatad Person PhllpA. Henderson C'CteimanfO wee represented by Wllam R. Ftohmen, Esq., Denver, Cotorado, ae of on or alxNJt September 2,2009. Prior to that dato. Claimant appeared ki prose. ING Hnenctel

Awwri FMRA Dteputo Raeoluflon In the Matter ofthe AMnfion BetoNeen: Q Invealmante Limited Paibieialdp Morgen Stanley & Ca. Ino. J^IAJttinblC 0M3243 IjfilCkKLStoL Lea Vagae, Nevada Natureof the Dtopute: Cuetomerva. Mamlier. RgPRgSBfTATlOII OF PAWTieS CtefcnantQlnvsatnrientelJmltedParineraht>herdnalteriefefiedtoaa'Cteknanr:Phl|p S. Aurbech. Eaq., Marquto & Aurisach. Lea Vsgae, NV. Respondent Morgan Stanley & Co., Inoorporstod, heielnaltei refened t

Awaid FMRA Dtoputo Reeolutlon to the Matter of the ArbHradon Between: Ctateiante Case Number OB-03212 Laurence Abramson IteneAbramaon Abramson Living Trust UAS 4/1AX2 B^Re HI Specvor The Spector Family Tmst U/A/D 08/16/93 Michael Pluze Reapondent Hearing Site: Loa Anoatea. Califamte CHigrDup Global Mariwte, Inc. Natore of the Dtoputo: Customers vs. Member REPRESENTATION OF PARTIES ClalniantB, Laurence Abramson, Itene Abramaon,

Award FINRA Dteputo Reeolutlon In the Matter of the Arbttration Between: Name of ttie Claimant Cfise Number 00-00993 The Alan B. Whtte Trust, by Hs Tmstees, Alan B. Whtte and Janice K. Whtte Name of ttie Reaoondent Hiring SHe: Satt Lalce Ctty, Utah ltradeDirect.com Corporation Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, The Alan B. Whtte Trust, by tts Trustees, Alan B. Whtte and Janice iC Whtte, hereinaf

stipulated Award FINRA Dteputo ReeoluBon In the Matter of the Arbitration Between: hlyne of the Cteimant Case Number 09-00740 Royel Allience Associates, Inc. rfff mes of the Resoondente Hearing Site: AManteGeomia Chariee Stevena and Darin Stevens Natore of the Dispute: Memt>er va. Aasociated Person. REPRESENTATION OF PARTIES For Royal Alltence Aasociates, inc., hereinafter referred to as "Claimanf: Thomas Campbell, Esq., Smith Cempbeii, LLP.

AMrard FINRA Dteputo Reaolutlon In the Matter of the Arfoitratton Between: Names of the Ctelmante Case Number. 0M3418 Natelte Schwarz, IndlvlduaHy, and aa Trustee of the Residuei Taist U/W/O Nomfian Schwarz and the Natelte Schwarz Trust Name of the Respondent Hearlno Site: Boca l^aton, Ftortda Sanford C. Bernstein & Company. LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PAICTIES For Natelte Schwarz, Individually, a

Award RNRA Dtepute Reeoliitlon In the Matter of the Arbitration Between: Names of the Ctelmante Case Number 0&O4672 Ian Knight Ian Knight Individual Retirement Ian Knight SEP IRA Namea of ttie Resoondente Hearing Site: Washington. D.C. I.ara, Shull & May, LLC Frank TaytorShull, IV Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ian Knight, Ian Knight Individual Retirement and Ian Knight

Award FINRA Dteputo Resolutton In the Matter of the AriMtration Between: NameoftheCtelmant Case Number 08-04592 Thomas DIBenedetto rteme of the Respondent Hearing Site: Tampa, Florida UBS Flnanctei Services Inc. Natore of ttie Disputo: Customer vs. Member. REPRESENTATION OF PARTIES For Thomas DIBenedetto, hereinafter rafaned to as "Cteimant": Richard A. Roth, Esq., The Rott) Law Firm, PLLC, New Yoric, New Yoric. For UBS Rnanctel Servloes

Award FINRA Dtoputo Resolution in ttie Matter of the Art)itratton Between: Name of ttie Claimant CflW Nurplpy; 08-04902 Mary Hart Davis Names of ttie Rasoondent s Hearing Site: Jedcson, Mississippi Morgan Keegan & Company, Inc. Morgan Keegan Select Fund, Ina Morgan Asset Management, Inc. Regions Ftoanctal Corporation MK Holding, ln& James C. Kelsoe. Jr. Aten J. Ferguson Lynn T. Shaw Natore of the Dispute: Customer vs. Member.