AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Lloyd Kippley and Edith Kippley vs. Names of Respondents First Republic Group, LLC and Sean Michael Murphy Case Number: 05-05872 Hearing Site: Milwaukee, Wisconsin Customers vs. Member and Associated Person Lloyd Kippley and Edith Kippley ("Claimants") were represented by Bruce D. Oakes, Esq., Oakes and Fosher. LLC, Bethalto, Illinois. First Re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stanley Schneider and Louise Weiner (Claimants) vs. Frank Elmer Rutan, IV (Respondent) Case Number: 09-02113 Hearing Site: New Yori^, New York Nature of the Dispute: Customers vs. Associated Person. REPRESENTATION OF PARTIES Claimants Stanley Schneider ("Schneider") and Louise Weiner ("Weiner"), hereinafter collectively referred to as "Claimants": Kevin P. Conway. Esq., Conway &

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03712 John S. Osier Living Trust, Phyllis M. Osier Living Trust. Phyllis M. Osier, IRA, and Genevieve Webster Davidson Living Trust (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared John Osier, Grosse Pointe Shores, Ml. For Respondent appeared Angela A. Turiano, Esq.. Bressler, Amery & Ross, PC, New York. NY. NATURE OF DISPUTE: Customers v

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00936 Wachovia Securities, LLC (Claimant) vs. Daniel Aho (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group. Inc.. Hazlet, NJ. Respondent appeared pro se, Henderson. NV. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 23. 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. In his

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04074 Robert G. Kurzman and Carol E. Kurzman (Claimants) vs. Deutsche Bank Alex Brown, a Division of Deutsche Bank Securities, Inc., and Eric Fiebert (Respondents) REPRESENTATION OF PARTIES: Claimants appeared pro se. Scarsdale, NY. For Respondents appeared Joshua Klein. Esq.. Duval & Stachenfeld, LLP, New York, NY. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: June 30, 2009 CASE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Michael C. Chrys and Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondents) Case Number: 08-03523 Hearing Site: Albany, New York Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinafter referred to as "Claimant": Leonard Weintraub, Esq., and Jordan D. Becker,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 09-03100 Hearing Site: Houston, Texas Name of Respondent Will T. Rogers NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Renan I. Sugarman, Esq., Renan Sugarman, P.C., Chicago, Illinois. Will T. Rogers ("Respondent")

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Keegan & Co., Inc. vs. Case Number: 09-02618 Hearing Site: Houston, Texas Name of Respondent Frederick H. Routon NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Keegan & Co.. Inc. ("Claimanf or "Morgan Keegan") was represented by Shea O'Brien Hicks, Esq., Morgan Keegan & Co.. Inc., Memphis. Tennessee.

Stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04195 SMIH Capital Inc. jMame of the Respondent Hearing Site: Boca Raton, Florida Alan Franic Pacella Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For SMIH Capital Inc., hereinafter refened to as "Claimant": Andrew R. Han/in. Esq., Doyle, Restrepo, IHarvin & Robbins, L.L.P., l-iouston, Texa

STIPULATED AWARD FINRA Dispute Resolution in the Matter of the Ari)itration Between: Name of Claimant/Counter-Respondent Morgan Stanley & Co. Incorporated (fomierly Morgan Stanley DW Inc.) vs. Case Number: 08-02415 Hearing Site: Milwaukee, Wisconsin Name of Respondent/Counter-Claimant Todd J. Funk Member vs. Associated Person Morgan Stanley & Co. Incorporated (formerly Morgan Stanley DW Inc.) ("Claimant" or "Morgan Stanley") was represent