AWARD FINRA Dispute Resolution in ttie Matter of the Arbitration Between: Name of Claimant Penson Finandai Services, Inc. vs. Case Number 09-01641 Hearing Site: Daltes, Texas Nsmes of Respondente Jesup & Lament Securities Corp. and Legent Clearing, LLC MATURE OF THgPiSPUTg Member VS. Membere RgpngSgMTATIQW OF PARTIES Penson Finandai Services, Inc. ("Claimant" or "Penson") was represented by Steven H. Thomaa, Esq., McGuIre, Craddoc

Award FINRA Dispute Resdutlon In the Matter of the Arbitration Between: Names of the Ciainwnts Caseijurnber 09-02695 Trini L. Thomas, Sr. Betty Thomas Names of the Respondents Hearing Site: Oriando, Ftorida Wofal OJu Off^ Todd A. Havemeister Ronald Eiger Donald A. Wojnowski, Jr. Eduardo IManuai Cabrera Jesup & Lament Securities Corp. Empire Financial Group, inc. Nature of the Dispute: Customer vs. Member and Associated Person.

AWARD FtNRA DISPUTE RESOLUTION CASE: 09-05207 Clarice E. Ujheiyi IRA, Clarice E. Ujheiyi Living Trust, Julius UJheIyi Living Trust and JuHus C Ujheiyi IRA vs. TD Ameritrede, Inc., Manuel Gonzalez, J.P. Morgan Securities, Inc. and Wells Fargo Banic REPRESENTATION OF PARTIES: Clarice E. Ujheiyi iRA, Clarice E. Ujheiyi Living Tmst, Julius Ujheiyi Living Trust and Julius C Ujhelyt iRA, hereinafter collectively referred to as "Claimants," appeared pro se. Res

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02776 H&R Blocl< Financial Advisors, Inc. Name of the Respondent Hearino Site: Washington, D.C. Brian Taylor Ainge Names of the Third Partv Respondents Charies A. Chambers Andrew M. Kistier, III Nature of the Dispute: Member vs. Associated Person and Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Jeremy Koch vs. Case Number: 08-04862 Hearing Site: Indianapolis, Indiana Name of Respondent NatCity Investments, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Jeremy Koch ("Claimant") was represented by James P. Baiter, Esq., Baker, Baicer & Krajewski, LLC. Springfield, Illinois. NatCity Investments, Inc.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: i Names of the Claimants Case Number: 08-01423 William Hamilton Smythe, 111, Individually; | William H. Smythe. IV Tmst U/A DTD 12/29/87. | William H. Smythe III. Trustee; and Smythe Children's Tmst #2 FBO Katherine S. Thinnes U/A DTD 12/29/87. William H. Smythe. 111. Trustee Name of the Respondent Hearing Site: Memphis, Tennessee i Morgan Keegan & Co

Award FINRA Dispute Resolution In the Matter of the Ariditration Between: Name of the Claimant: Case Number 08-04418 Charies B. Osterman Name of the Respondent: Hearing Site: Phoenix, Arizona Morgan Stanley DW inc. n/k/a Morgan Stanley & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Charies B. Ostemnan, hereinafter referred to as "Claimant": Bmce D. Calces, Esq., Cakes & Fosher, LLC, St. Louis, Misso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-01221 Oppenhelmer& Co., inc. Name of the Respondent Hearing Site: Los Angeles, Califomia James Robert Phillips Name of the Counter-Claimant James Robert Phillips Name of the Counter-Respondent Oppenheimer & Co., Inc. Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Case Number: 09-05646 Citigroup Global Marlcets, Inc. Respondent Hearing Srte: San Francisco, California Daniel Peter Ashby Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Citigroup Global Maricets, Inc., hereinafter referred to as "Citigroup" or "Claimant"; Yana Kromo, Esq., Alonso, Andalkar & Kahn, P.C., New York. New Yo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-01739 Stephen A. Farley Respondent Hearing Site: Los Angeles, California UBS Financial Services Inc. Nature of the Dispute: Customer vs. Member REPRESENTATiON OF PARTiES Claimant, Stephen A. Farley, hereinafter referred to as "Claimant": Stephen A. Farley, Northridge, California. Respondent, UBS Financial Services Inc., hereinafter refened to