Award FINRA DIeputo Reeolutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-02446 Snehai Patel Name of the Respondent Hearino Site: Richmond, Virginia Westrock Advisors, inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Snehai Patel, hereinafter referred to as "Ciaimanf, appeared pro se. Westrock Advisors, Inc., hereinafter referred to as "Respondent": Christopher R. Travis, Esq.,

Award HNRA DIaputo Reeolutlon In the Matter of the Arbitration Between: Name of the Cteimant Case Number 08-04948 The Westen^it Company Name of the Respondent Hearing Site: Birmingham, Alabama Banc of America Securities LLC Nature of ttie Dispute: Customer vs. Member. REPRESENTATION OF PAfmES For The Westenrait Company, hereinafter refened to as 'X^teimanf: Peter R. Sonderisy, Esq., Ulmer & Beme LLP, Chicago, lliinois. For Banc of America

Award FINRA DIaputo Reeolutlon In the Matter of the Aristtration Between: Name of the Claimant Case Number 09-01995 Karen Rutii Hankinson Names of the Respondente Hearing Stte: Tamna. Florida Stanley Olttton Brooks RusseU Robert Rtocobono. Jr. Scott Stanley Brooks Kathleen Margaret McPherson Steve Skytte Brookstraet Securities Corporation Kennetti Paul Brown Natore of the Dispute: Associated Person vs. Member and Associated Person

AWARD FINRA DIaputo Resolution in the Matter of the Arbitration Between: Names of Claimante Arun Verma, Karuna Vemia, and Makan Limited partnership vs. Case Number: 08-04027 Hearing Site: Houston, Texas Names of Respondente A.G. Edwards & Sons, inc. and Wachovia Securities, LLC, and John Montfbrt NATURg OF THE DISPUTE Customers vs. Member and Associated Person Arun Vemia, Karuna Vemia, and Makan Limited partnership ("Claimante") were

AWARD FINRA Dispute Resolution In the Matter of the Ari3itration Between: Names of Claimants Mari( A. Martin and Nancy R. Martin vs. Name of Respondent Charies Schwab & Co.. inc. and Name of Third-Party Claimant Charies Schwab & Co., Inc. vs. Name of Third-Partv Respondent Cortland Associates, Inc. Case Number: 08-04919 Hearing Site: St Louis, Missouri MATURg OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Nj^p^^ofqa^man^ Christine L. Lane, as Beneficiary of the Christine L Lane I.R.A. vs. Case Number. 09-01745 Hearing Site: Houston, Texas Name of Respondent Morgan Stanley & Co.. Inc. NATVREgFTHEPBPUTE Customer vs. lumber REPRESEMTATIQM OF PARTIgg Christine L. Lane as Beneficiary of the Christine L. Lane I.R.A. ("Claimant") was represented by Mark C. Watler, Es

Award FINRA Dtepute Resolution In the Matter of ttie Artittration Between: Name of the Cteimant Case Number: 09-02152 Gordon D. Stemper Name of the Respondent Hearina Sfte: Birmingham, Alabama MMLiSI Natore of the Dtepute: Associated Person vs. Memfoer. REPRESENTATION OF PARTIES Gordon D. Stemper, hereinafter referred to as "Claimant," appeared pro se. For MMLISI, hereinafter referred to as "Respondent": Audrey Y. Dupont, Esq. and Carote

Award FINRA Dtepute Reaolution in the Matter of the Aristtratton Belween: Names of the Cteimante Case Number 09-02083 Wetter S. Dellaplna and Cordelia R. Dellaplna as joint tenante wtth right of sunrlvorehip and as trustsss of their respective IRAs Name of the Respondent Hearina Srte: Boca Raton, FL Morgan Stenley & Co., inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Wetter S. Deitepina and Cordelia R.

Award FINRA DtoiMito Resolution In the Matter of tiie Art)ttration Between: Name of ttie Cialmant Case Number 09-01926 Carol E. Woffer Name of the Respondent Hearino Stte: Oriando, Ftorida Janney Montgomery Scott, LLC Nature of the Dispute: Customer vs. Memfoer. REPRESENTATION OF PARTIES For Carol E. Wolfer. hereinafter referred to as "Ciaimanf: Philip J. Snydert)um, Esq., Snyderiaum, Rishoi 8i Swann, LLP. Mattland, Ftorida. For Janney Mo

Award FINRA Disputo Resolution In the Matter of the Aristtration Between: Names of the Clalmante Case Number: 09-02462 Lute Davidsohn Susana l.ea De Dayidsohn Roberto Davidsohn' Names of the Respondente Hearing Stte: Miami, Ftorida Atias One Finandai Group, LLC Atlas Weatth Hokllngs Corporation Moises Nudel Jorge Nmn Kalfo Paul DavkJ Weiss NabJre of the Disputo: Customer vs. Memfoer, Non-Member and Assodated Pereon. REPRESENTA