Award FINRA Disputo Resolution in the Matter of the Arbitration Between: Name of the Claimante: Case Number 08-01841 Isaac Applbaum, individually and as Tmstee of The Applbaum Family Taist UAD 06/01/93 Hikia Applbaum, IndMdually and as Tnjstee of The Applbaum Family Trust UAD 06/01/93 Name of the Respondent: Hearing Site: San Francisco, Califomia Stone & Youngberg, LLC Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Clai

stipulated Award FINRA Dispute Rasolutlon In the Matter of the Arbitration Between: Name of the Claimants Case Numtwr 07-03391 Sami Maywood. M.D. DawnMaywood Name of the Resoondents Hearing Site: San Diego, Califbmia J. P. Tumer & Company, L.L.C. Michael L. Rose RoGco G. Guidicipietro Michael S. Berteietti and Robert A. Guidicipietro Name of the Cross-Ciaimant J. P. Tumer & Company, L.L.C. Name of the Cross-Respondent Mich

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ciaimant Wells Fargo Investments. LLC Respondent Kendall C. Blunt Case Number 08-00064 Hearing Site: Portland, Oregon Counter-Claimant Kendall C. Blunt Counter-Respondent Wells Fargo Investments, LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member RgPRgSENTATH Claimant/Counter-Respondent Wells Fargo Investments,

AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Richard E. l^ofTitt vs. Case Number: 09-00905 Hearing Site: Detroit, Michigan Names of Respondents Investors Capital Corporation, Adam J. Spero, and Anthony J. Urrico Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Richard E. Moffitt ("Claimant") was represented by Anthony V. Trogan, Esq., Law Offices of Anthony V. Trogan. PL

AWARD FINRA Dispute Resoiution In the flatter of the Arit}itratJon Between: Name of Claimant Josephine L. DesParte vs. Case Number: 09-00572 Hearing Site: Chicago, lllinols Names of Respondents William Blair & Company, LLC, William IHarold Ross, and Brian Lance Kasal NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Josephine L. DesParte ("Claimant") was represented by Andrew Stoitmann, Esq

Case Number 08-05006 IHearing Site: Kansas City, Missouri Consolidated with: Case Number: Og-00234 i-iearing Site: Kansas City. Missouri Customer vs. Member Ishmaiia G. Loum ("Claimant" or "Loum") appeared pro se. Zecco Trading, Inc. ("Respondent" or "Zecco") was represented by David L. Stanton, Esq., and Ester K. Yeu, Esq., Pillsbury Winthrop Shaw Pittman, LLP, Los Angeles. Califomia. Case# 08-05006 The Statement of Claim was filed on or about Decem

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James E. Czyz vs. Names of Respondents Milestone Financial Services. Inc. and Penson Financial Servk^s, Inc. and Name of Crass-Claimant Penson Financial Services. Inc. vs. Name of Cross-Respondent Milestone Financial Services, Inc. Case Number. 08-02022 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Customer vs. Members R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-03370 Percy Dover Percy Dover, IRA Karen Dover Karen Dover, IRA Name of the Respondent Hearing Site: Memphis, Tennessee Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Percy Dover, Percy Dover, IRA, Karen Dover, and Karen Dover, IRA, hereinafter referred to as "Clai

Award FINRA Dispute Resolution In the l^atter of the Arbitration Between: Claimant Case Number 08-03055 Pope Resources, a Delaware Limited Partnerehip ResEwndent Hearina Site: Seattle, Washington Credit Suisse Securities (USA) LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Pope Resources, a Delaware Limited Partnerehip. hereinafter refened to as "Claimant": Martin S. Slegel, Esq., Brown Rudnlcic LLP, New Yo

Award FINRA DisputB Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-00764 Kenneth G. Langone, Jr. Respondent Hearing Site: Phoenix, Arizona Morgan Stanley & Co., Incorporated Nature of the Dispute: Customer vs. Member Public Art)itrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES Claimant. Kenneth G. Langone, Jr., hereinafter referred to as "Claimant": Marie D. Lammere, Esq., DeConcini McDon