AWARD FINRA DISPUTE RESOLUTION CASE: 09-01972 Morgan Stanley & Co., Incorporated (Claimant) vs. Eric Allen Rice (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Patrick J. Folan. Esq.. St. John, Wallace. Brennan & Foian LLP. Torrance. CA. Respondent appeared pro se, La Jolla. CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 10, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of settlement

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01153 Sandra Valentin (Claimant) vs. Chase investment Services Corporation. Jorge Torres, and Yoseph Atwetl (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Joseph Cinquemani. Esq.. Cinquemani & Green, New Rocheile, NY. For Respondents appeared Edward J. McNamara. Esq.. JP Morgan Chase & Co., Chatsworth, CA. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE FILED: February 24,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, inc. (Claimant) vs. Wachovia Securities, LLC and Jason Siegei (Respondents) Case Number: 07-01400 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, inc., hereinafter referred to as "'Claimant": Joseph E. Gehring. Jr., Esq.. Gehring & Satriale LLC,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Christopher Michael Wanken vs. Case Number: 08-04793 Hearing Site: Dallas, Texas Names of Respondents Raymond James Financial Sen/ices, Inc. and John Dwight Wanken Associated Person vs. Member and Associated Person Christopher Michael Wanken ("Claimant" or "Chris Wanken") appeared pro se. Raymond James Financial Sen/ices, Inc. ("RJFS") was represente

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Terry Lee Elschlager and Sherry Elschlager vs. Case Number: 09-02513 Hearing Site: Charleston. West Virginia Name of Respondent Wachovia Securities, LLC NATURE OF THE DISPUTE Customers vs. Member REPRESENTATiQN OF PARTIES Terry Lee Elschlager and Sherry Elschlager ("Claimants") were represented by Stephen P. Meyer, Esq., Meyer, Ford & Glass

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Cheryl D. Seifert vs. Case Number: 08-03323 IHearing Site: Chicago, Illinois Name of Respondent UBS Financial Services Inc. and David Russell Mummery NATURE OF THE DISPUTE Customer vs. Member and Associated Person Cheryl D. Seifert ("CiaimanD was represented by Enwin Cohn, Esq., Cohn & Cohn, Chicago, Illinois. UBS Financial Services Inc. ("U

AWARD FINRA Dispute Resolution In the Matter of the Ari^'itration Between: Name of Claimant L. James Reese Revocable Trust, Tmst A, by Patricia Luann Reese and Edward A. Setzler, Co-Trustees vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith. Inc. Case Number: 07-01452 (Hearing Site: Kansas City. Missouri Customer vs. Member L. James Reese Revocable Trust. Trust A. by Patricia Luann Reese and Edward A. Setzler, Co-Trustees (

Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Claimant Case Number: 09-01635 Estate of Chaille M. Love, Deceased Respondents Hearing Site: San Francisco, Califomia Menill Lynch. Pierce, Fenner & Smith Incorporated LJsaann Tomiko Nouchi Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant. Estate of Chaille M. Love, Deceased, hereinafter referred to as "Claimant" or

Award FINRA Dispute Resolution in the Matter of the Arfortration Between: Name of the Claimant: Case Number 08-02081 John Yarbrough Name of the Respondent: Hearing Site: Los Angeles, Califomla Citigroup Global Markets. Inc. f/k/a Smith Barney, inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant John Yarbrough hereinafter referred to as "Claimant": Philip M. Aidikoff. Esq. and Robert A. Uhl, Esq., Ai

Award FINRA Dispute Resolution in ttie Matter of the Arisitration Between: Claimants Case Number: 08-04209 Odeen Manning The Odeen Manning Family LP Respondent Hearino Site: Las Vegas, Nevada Homor, Townsend & Kent, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Odeen Manning, and The Odeen Manning Family LP. hereinafter collectively referred to as "Claimants": Joel A. Goodman. Esq., and Kalju Neicva