AWARD FINRA Dispute Resolution In the Matter of the Arisltratton Between: Names of Claimante John Rausch and Diane Zodlkoff vs. Case Number 08-01369 Hearing Stte: Cincinnati, Ohio Names of Resoondente H&R Biocic Financial Advisors. Inc. n/k/a Ameriprise Advisor Services. Inc. and Robert B. Bilo NATURE OF THE DISPUTE Customers vs. Memt)er and Associated Person REPRESENTATION QF PARTIES John Rausch ("Rausch") and Diane Zodilcoff ("Z

Award FINRA Dteputo Resolution In ttie Matter of ttie Art>ttration Between: Name of ttie Claimant Case Number. 09-03321 UBS Financtel Sen/ices, Inc. Name of tiie Respondent Hearing Stte: Boca Raton, Ftorida Richard Lee Nature of the Dispute: Member vs. Associated Person. For UBS Financial Sen/ices, Inc., hereinafter rafjerred to as "Cteimanf: Michael Sten, Esq. and Anttiony J Borrelli, Esq., RUcer, Danzig, Scherer, Hyland & Perrettt, LLP, Mor

Award FINRA Dtopute Reeoluflon In ttie Matter of the Arbitratton Between: Name of ttie Claimant Case Number: 09-01964 Davkl P. Meyers Name of ttie Respondent hWnng gife Atiante, Georgte Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For DavM P. Meyers, hereinafter refened to as "Claimant": J. Pat Sadler. Esq.i Sadter & Hovdesven, PC, Atiante, Georgia. For Morgan Keegan & Company, Inc.,

Award FINRA Dtoputo Reeohttfcm In the Matter of ttie Arisltration Between: ItoneaofttieClalmante Caae Number 09-05164 Jerome M. Christenson and Gloria T. Christenson. individually, and Jerome M. Christenson, IRA beneficiary Name of ttie Respondent Hearing Site: Nashvilte, Tennessee Morgan Keegan & Company, Inc. Nature of ttie Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jerome M. Christenson and Gtoria T. Christenson, Indiv

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Annette Smith, individually and on behalf of Annette Smith individual Retirement Account, Donald L. Smith, individually and on behalf of Donald L. Smith SEP and Individual Retirement Account (Claimants) vs. RBC Capital Markets Corporation and Alan A. Coolc, II (Respondents) Case Number 09-02687 Hearino Site: Rochester, New Yori^ Nature of the Dispute: Customers vs. Member and Associ

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: TD Ameritrade, Inc. (Claimant) vs. David D. Lu (Respondent) Case Number: 09-04798 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant TD Ameritrade, Inc., hereinafter referred to as Claimant": R. Matthew Ingraham. Esq., TD Ameritrade. Inc., Bellevue, NE Respondent David D. Lu hereinafter referred to as "Respondenf d

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04373 James R. Burns, IRA (Claimant) vs. Morgan Keegan & Company, inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Duniap, Jr., James A. Dunlap Jr. & Associates LLC, Atlanta, GA. For Respondent appeared John-Davki H. Thomas, Esq., Bass, Berry & Sims PLC, Nashville, TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 23, 2009 CASE SUMMARY; Claimant asserted the following cau

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peabody House Company Limited Partnership (Claimant) vs. Citigroup Glot)al Markets. Inc. d/b/a Smith Bamey (Respondent) Case Number. 09-01066 Hearino Site: Boston. Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Peabody House Company Limited Partnership ("Claimant^): Kevin S. Murphy, Esq.. Yurko, Salvesen & Remx, P.C.. Boston, MA. Pre

AWARD RNRA Diepute Reeolutlon in the Matter of tiie Art)ltration Between: Names of Clalmante Gerald Adkins and Gerald Adkins as Trustee of ttie Gerald Adkins Inevocable Trust vs. Case Number. 08-04863 Hearing Site: Ijouisvilte, Kentucky Names of Resoondente Morgan Keegan and Company, inc. and Robert S.EIItott NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Geraki Adkins and Geraki Adk

Award FINRA Dteputo Reeolulion in ttie Matter of the Arbttration Between: Cteimante: Case Number 09-03020 Richard Brown Bartiara Czencz David Kinard Donna Kinard Gordon Lotehult PhylKsLotehutt Adam Lundquist Robert D.McKlntey Davkl Minor Lindsay E. Morisse Packer Family Trust dtd February 24,1983 James R. Pardee Candtee Puiilam Jerry PuHiam Carol Puiitem Sharon Rankin Steven M. F^teese Julte R. Reese