stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Saxony Securities, Inc. (Claimant) vs. Craig G. Langweiier (Respondent) Case Number: 08-03682 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Saxony Securities, Inc., hereinafter referred to as "Claimant": Donald J. Mehan, Jr., and Christopher T. O'Connor. Moline & Mehan, LLC, SL Louis, MO. Respo

Award FINRA Dispute Resolution In the Matter of the Arbitratbn Between: Name of the Claimant John P. Dancy Names of the Respondents Pershing LLC/Dlv. of DLJ Sec. Corp. Money Concepts Capital Corp. Jason I. Swink Carolina Fami Credit, ACA Case Number: 08-04933 Hearing Site: Chariotte. North Carolina Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For John P. Dancy, hereinafter ref

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 0W)1649 Morgan Stanley & Co., incorporated Name of the Respondent Hearing Site: Tampa, Florida Thomas Marino Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Morgan Stanley & Co., Incorporated, hereinafter refened to as "Claimant": Renan I. Sugarman, Esq., Morgan Stanley & Co., Incorporated, Chicago, Illin

stipulated Award FINRA Dispute Resolution In the Matter of the Arbltretion.Between: Namo of the Claimant Case Number 09-00796 Estate of Peter Roslund Names of the Respondents Hearina Site: Chariotte, North Carolina Stephen Gabriel JP Morgan Chase Nature of the Dispute: Customer vs. Member and Associated Person. REPRgSgltfTA-nOM QP PARTIgS For the Estate of Peter Roslund, hereinafter referred to as "Claimant": David C. Berman, Esq., David

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03561 Racetrac Petroleum, inc. Names of the Respondents Hearina Site: Atlanta, Georgia Bear Stearns & Co., Inc. Bear Stearns Securities Corp. Bear Stearns Asset Management, inc. Ralph Cioffi Richard Marin Ray McGarrigal Matthew Tannin Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESE

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Names of the Claimants Case Number: 08-02618 Nathan Marcadis. individually and as Trustee of the Nathan Marcadis Revocable Living Tmst dated June 5,1996. Names of the Respondents Hearino Site: Cleanwater, FL Citigroup Global Mari< ets. inc. fl\Ua Salomon Smith Barney inc. Lan7 Cuervo, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENT

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00605 Christopher Moore Name of the Respondent Hearino Site: Memphis, Tennessee Saxony Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Christopher Moore, hereinafter refened to as "Claimant": Scott T. Beall, Esq., Law OfTices of Scott Beall, P.A., Memphis, Tennessee. For Saxony Securities

Award FINRA Dispute Resolution In the Mattere of the Arbttration Between: Name of the Claimants: Phillip C. Linwick and Sara Linwicic, Communtty Property Name of the Respondent: RBC Capttai Markete Corporation dA>/a RBC Daln Rauscher n/k/a RBC Weatth Management Case Number 09-01554 Hearing Stte: Seattie, Washington Nature of the Dispute: Customere vs. Member REPRESENTATION OF PARTIES Claimants Phillip C. Linwick and Sara Linwick, Comm

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-04646 H. Roaric & Associates, Inc. Respondent Hearing Site: Reno, Nevada PowerChem LLC Counter-Claimant PowerChem LLC Counter-Respondent H. Roaric & Associates, inc. Nature of the Dispute: Member vs. Customer Customer vs. Memt)er REPRESENTATION OF PARTIES Claimant/Counter-Respondent, H. Roaric & Associates, Inc., hereinafter referr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Marie Bowman Respondente Wells Fargo Investmente, LLC U.S. Bancorp Investmerrte, Inc. Case Number 07-03161 Hearing Sfte: Denver, Colorado Nature of the Dispute: Associated Pereon vs. Membere REPRESENTATION OF PARTIES Claimant, Marie Bowman, hereinafter referred to as "Claimanf: Marie J. Appleton, Esq., Moseley, Busser & Appleton. Denver, Colorado and Otto K.