Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03558 Barbara Ballway, individually, and as Trustee of the Lorraine Berner Family Trust Names of the Respondents Hearing Site: Orlando, Florida Charles Schwab & Co., Inc. George Henry Meyerhoff, Jr. Washington Square Securities, Inc. ING Financial Partners, Inc. Nature of the Dispute: Customer vs. Member and Associated Person.

AWARD FINRA DISPUTE RESOLUTION in the Matter of the Arbitration Between: Ameriprise Advisor Services, Inc. vs. William A. Ferguson Case Number: 09-04965 SITUS: Raleigh, North Carolina NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: Ameriprise Advisor Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Respondent did not enter an appearance in this matter.

Award FINRA Dispute Resolution In the Matter of tlie Arbitration Between: Names of the Claimants Case Number: 08-01465 General Henry Cobb, Jr. Cobb Restaurant Group CiC Capital Management Company, LLC Cobb Investment Company, LLC CIC Financial Names of the Respondents Hearing Site: Bimiingham, Alabama Morgan Keegan & Company Joe Hamilton Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jay Lombard (Claimant) vs. GunnAllen Financial, Inc., and David Neil Soiferman (Respondents) Case Number: 09-04105 Hearina Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jay Lombard hereinafter referred to as "Claimant" appeared pro se. Respondent GunnAllen Financial, Inc. ("GunnAllen"): Jay Marc Israe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paulson Investment Company, Inc. (Claimant) vs. Christopher Wiseman (Respondent) Case Number: 09-04597 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATiON OF PARTIES Claimant Paulson Investment Company, Inc., hereinafter referred to as "Claimant": Richard J. Babnick, Esq., and Jonathan Kurta, Esq., Sichenzia Ross Friedman Ference L

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04950 Jean Ann Kenny (Claimant) vs. Russell Salerno and ICMA-RC Services. LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Storrs. CT. For Respondents appeared B. James Rohrbacher. ICMA-RC Services. LLC. Washington. DC. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: August 20. 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to execut

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05256 Merrill Lynch. Pierce. Fenner & Smith. Incorporated (Claimant) vs. Jeffrey Gavigan (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey M. Csercsevits. Esq.. Rubin. Fortunate & Harbison. PC . Paoli, PA. Respondent appeared pro se. Arlington. TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 10. 2009 CASE SUMMARY.- Claimant asserted the following causes of action

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Leerink Swann LLC (Claimant) vs. Martin J. Joyce (Respondent) Case Number: 08-03941 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Leerink Swann LLC hereinafter referred to as "Claimant": David C. Casey, Esq., Littler Mendelson. P.C., Boston, MA. Respondent Martin J. Joyce hereinafter referred to as "Re

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03736 Paul Rodeheffer (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William B. Young. Jr.. Esq . Colling. Gilbert. Wright & Carter. Orlando. FL. For Respondent appeared Kendra S. Canape. Esq., Keesal, Young & Logan. Long Beach. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 17. 2009 CASE SUMMARY: Claimant asserted the following causes of

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley & Co., Inc. vs. Name of Respondent L. Marvin Boyce Case Number 09-02837 Hearing Site: Charieston, West Virginia Memt)6r vs. Associated Person REPRESENTATIQM OF PARTIgS Morgan Stanley & Co., Inc. ("Claimant") was represented by Renan I. Sugannan, Esq., Law Offices of Renan I. Sugarman, PC, Chicago, Illinois. L. Man/in Boy