AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Trinity United Methodist Church vs. Case Number: 07-02960 Hearing Site: Cleveland, Ohio Names of Respondents Allegheny Investments, LTD and George B. Frantz, III Customer vs. Member and Associated Person Trinity United Methodist Church ("Claimant") was represented by Thomas C. Wagner, Esq., Van Duesen & Wagner, LLC, Cleveland, Ohio. Allegheny Inv

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02764 Martha Tice Bourie (Claimant) vs. Davenport & Company, LLC and Lisa Kern (Respondents) REPRESENTATION.OF PARTIES: Claimant appeared pro se. Earlysville. VA. For Respondents appeared Brian A. McCormack, Esq.. Davenport & Company, LLC, Richmond, VA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 13, 2009 CASE SUMMARY: Claimant alleged that Respondents liquidated her holdings

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03739 John Koehler (Claimant) vs. Pruco Securities, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared p/io se, Crawfordsville. IN. For Respondent appeared Sari M. Alamuddin. Esq., Morgan. Lewis & Bockius, LLP, Chicago. IL. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: June 22, 2009 CASE SUMMARY: Claimant asserted the following cause of action: expungement. Claim Data Award Data

Award Data Award: 522,720.43 Interest: at the rate of six percent (6%) per annum from April 9. 2009 to November 10. 2009 Attorneys" Fees: SO.OO Costs: 5525.00 Other: $0.00 AWARD: The undersigned arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant compensatory damages of S22.720.43. 2) Respondent is liable for and shall pay to

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03778 W&S Brokerage Services, Inc., wholly-owned subsidiary of Western-Southern Life Assurance Company (Claimant) vs. Kevin C. Mannor (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared David E. Theurich, Esq.. Western & Southern Financial Group, Cincinnati, OH. For Respondent appeared Robert D. Mannor. Esq., Mannor Law Office. P.C.. Grand Blanc. Ml. NATURE OF DISPUTE: Member v. Associated Person

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sensual Fashions. Inc. (Claimant) v. Wedbush Morgan Securities Inc. (Respondent) Case Number: 09-01152 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Sensual Fashions, Inc., hereinafter referred to as "Claimant": Michael Perugini, President, Sensual Fashions, Inc.. Wolcott, CT. Respondent Wedbush Morgan Securiti

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03445 Oppenheimer & Co., Inc. (Claimant) vs. Duffy J. Worth (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diana H. Sur. Esq.. Oppenheimer & Co., Inc.. New York. NY. Respondent appeared pro se, Southington, CT. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 5. 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. Claim Data Award D

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02752 David T. Guyton. Jr.. IRA and David Guyton, Jr., TTEE Guyton Family Trust (Claimants) 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 Evelyn C. Best, Esq.. Keesal, Young & Logan. Long Beach, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: May 12, 2009

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Guya Singh Rai (Ciaimant) vs. Barclays Capitel Inc. (Respondent) Case Number: 08-04142 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Guya Singh Rai hereinafter referred to as "Claimant": Noah A. Kinigstein, Attorney at Law, New Yoric, NY. Respondent Barclays Capitel inc., hereinafter referred to as "Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Maxim Group LLC (Claimant) vs. Martin Feinberg (Respondent) Case Number: 09-02227 Hearing Site: New York. New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Maxim Group LLC, hereinafter referred to as "Claimant": Christopher G. Massey, Esq., Maxim Group LLC, New York, NY. Respondent Martin Feinberg appeared pro se. CASE INFORMATION St