Stipulatod Awaid FINRA Dtoputo Reeolutlon In the Matter of the Ariattration Between: Names of the Claimante Eugene O. Jones Joy F. Jones N^rpe? 9f thg RWPOnjent? Advanced Rarmlng Securities, Inc. Ctiaries C. Slowey. Jr. Edward D. Puttick. Sr. Case Number 08"00082 Heerino Site: New Orieens. Loulsisne Nature of the Dispute: Customer vs. l\Aember and Associated Person. REPRESENTATION OF PAWnES For Eugene O. Jones and Joy F. Jones, herein

Award FINRA Dispute RMolutf on In the Matter of the Art>ttration Between: Names of the Clainnants Case Number: 08-03012 Tracy H. Scruggs Andrew C. Scruggs and Tracy H. Scruggs NameoftheRasDondent Hearing Site: Nashvffle. Tennessee Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTiES For Tracy H. Scruggs. Andrew C. Scnjggs and Tracy H. Scnjggs. hereinafter collectively refennsd to as Claim

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04191 Paul Taylor (Claimant) vs. E^Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Managua, Nicaragua. For Respondent appeared Meredith A. Feide, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 13, 2009 CASE SUMMARY: Claimant alleged that Respondent owes him money sent to open an account. ARBITRATOR'S REPORT: THIS

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04979 Joseph D. Mason and Marian B. Mason (Ciaimante) vs. Lawrence N. Passaretti (Respondent) REPRESENTATION OF PARTIES: Ciaimante appeared pro se, Boynton Beach, FL. For Respondent appeared Jessica F. Longobardi, Esq., Wilson, Elser, Mosl^owitz, Edelman & Dicker LLP, White Plains, NY. NATURE OF DISPUTE: Customers v. Associated Person DATE FILED: August 21, 2009 CASE SUMMARY: Ciaimante asserted the followin

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05195 Edward Biliig (Claimant) vs. Michael Howard Rosenmayer, Gregory Baines Iglow, RBC Capital Marinate Corporation, and Oppenhelmer & Co. Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Westlalce Village, CA. For Respondente Michael Howard Rosenmayer, Gregory Baines Iglow, and RBC Capitei Markete Corporation appeared Abe Lampert, Esq., Law Offices of Abe Lampert, P.C., San Francisco, CA.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nameoftfieaaimant Case Number 09-03657 Toshk) Nakano and Chie Nakano. as Trustees of The Toshk) and Chto Nakano Living Tmst Names of tiie Rftaoondante Hearing Site: Baltfmore, Maryland Wedbush Morgan Securities, Inc. Richard A. LannI Name of ttw Third Party Respondent Milton Rei MiyauchI Nature of the Dispute: Customer vs. Member and Associated Person vs. Associated

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Garry Hodgin vs. Case Number 08-03702 Hearing Site: Omaha, Nebrasica Names of Respondents Whitelcer Securities LLC, Yousef Saijooici a/l(/a Joe SaQooki, Thomas E. O'Neill, Michael S. Segal, and Pershing LLC MATURE OF THE DISPUTE Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Garry Hodgin (Xlaimanr) was repres

Award FINRA Diepute Resolution In the Matter of the Art)itration Between: Frank Kulbacki (Claimant) v. Citigroup Global Markets, Inc.. Legg Mason Wood Walker, Inc., and Robert Thomas Phillips (Respondents) Case Number. 09-03310 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Memt>ers and Associated Person. REPRESENTATION OF PARTIES Claimant Frank Kulbacki hereinafter refen^d to as "Claimant": Coming GIbbs, Esq., Law Offic

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Roger Gimbel (Claimant) vs. Stephen DeGroat and Jesup & Lamont Securities Corp. (Respondents) Case Number: 08-04709 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Roger Gimbel hereinafter referred to as "Claimant": Arthur M. Handler, Esq., Mound Cotton Wollan & Greengrass, New York, NY.

AWARD FINRA Dispute Resolution In the Matter of the Artsitration Between: Name of Claimant Phillip A. Wells vs. Case Number 09-02537 Hearing Site: l^uisviile, Kentucky Name of Respondent UBS Finandai Services, Inc. NATURE OF THE DISPUTE Customer vs. Memt>er REPRESENTATION QF PARTIES Phillip A. Welte ("Claimanf') appeared pro se. UBS Financial Services, inc. ("RespondenT) was represented by John O. Murphy, Esq., UBS Financial Senri