Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 09-0094g Vijay Reddy Names of the Respondents Hearino Site: Oriando, Florida NSM Securities, inc. Shondep Sajan Balchandani Sterne Agee Capital Markets, Inc. Sterne Agee & Leach. Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Vijay Reddy, hereinafter referred to as "Claimant"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-01567 Gus B. Denton Priscilla A. Denton Shelby Partners Name of the Respondent Hearing Site: Memphis. Tennessee Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gus B. Denton, Priscilla A. Denton and Shelby Partners, hereinafter collectively referred to as "Claimants": D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-04360 Kenneith Vernon Rose Names of the Respondents Hearing Site: Cleanwater, Florida GunnAllen Financial, Inc. Neal Smalbach AXA Equitable Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES Kenneith Vemon Rose, hereinafter referred to as "Claimant," appeared pro se. For Respondent Neal Smalbac

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-04332 Youlian J. Liao Jincai Chen aJkIa Lucia Chen Name of the Respondent Hearino Site: Atlanta, Georgia Allstate Financial Services, L.L.C. Name of the Third Party Respondent Qi Chen Nature of the Dispute: Customer vs. Member; Member vs. Associated Person. REPRESENTATION OF PARTIES For Youlian J. Liao ("Liao") and Jincai Ch

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Names of the Claimants Case Number: 09-01662 Charles W. and Mary Alice Dammeyer Name of the Respondent Hearing Site: Baltimore. Maryland RBC Capital Maricets Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Charies W. and Mary Alice Dammeyer, hereinafter collectively referred to as "Claimants": Jacic J. Shapiro. Esq., Baltimore, Mary

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01264 Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton. Florida IHoward S. Walzer Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Andrew Park, Esq., Park Ratner, PLC, Richmond, Virginia. For l-ioward S. Walze

Award FINI^ Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 07-01585 William P. Holmes Robert K. Arceneaux Margaret Stanton George Hunter Betty J. Hunter Girven VanPatton Alice Titus Marsalis John D. Abston Biliie L. Wheat Names of the Respondents Hearino Site: Jackson, Mississippi Royal Alliance Associates, Inc. MML Investors Services, Inc. Gaynell A. Palmisano Nat

AWARD FINRA Dispute Resolution In the Matter of the Arisltration Between: Name of Claimant Steven Beach vs. Names of Resoondents Bentley-Lawrence Securities. Inc., Mesirow Financial, Inc.. and Mark F. Harper Case Number: 08-03378 Hearing Site: Detroit, Michigan Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Steven Beach ("Claimant") was represented by Jack J. Mazzara. Esq., Mazzara Law Finn. PLLC, Grosse Poin

Case Number: 09-03271 Hearing Site: St. Louis, Missouri •HE DISPUTE Customer vs. Member Janis D. Carenza, Independent Executor of the Estate of Roger D. Emling ("Claimanr) was represented by Donald J. Mehan, Jr., Esq. and Christopher T. O'Connor, Esq., Moline & Mehan, LLC. St. Louis, Missouri. UMB Financial Services, Inc. ("Respondent" or "UMB") was represented by M. Jane Matoesian. Esq. and Donald D. McBride, II, Esq.. Greensfeider, Hemker& Gale, P.C, St.

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02283 Lioudmilla Pashenl^ov (Claimant) vs Wachovia Securities. LLC and Michael J. Stevens (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Alan Gilmore. Esq., Lynch. Osborne. Theivakumar & Gilmore, LLC. Princeton. NJ. For Respondents appeared Brian J. Ellis. Esq., Bressler, Amery & Ross, Florham Park. NJ. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 23. 2009