Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Claimant Case Number 08-00818 Susan Ure Respondents Hearing Site: San Francisco, California ING Financial Advisers. LLC ING Life Insurance and Annuity Company Counter-Claimants ING Financial Advisers, LLC ING Life Insurance and Annuity Company Counter-Respondent Susan Ure Nature of the Dispute: Associated Person vs. Member and Non-Member Member and Non-M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-01272 Curley L. Bernard Gregory B. Bonnett Judy F. Casey Linda S. Coriey David C. Gallien Michael D. Gilcrease Gordie Greening. Jr. Billy W. House Roger F. House George Reed Terry Respondents Hearina Site: Dallas, Texas InterSecurities, Inc. Gregory James Hildebrand Peter E. Dahlstrom James P. Gouldman Nature

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02787 Rolling Shield Parts, Inc. Jose Delgado Name of the Respondent Hearina Site: Miami, Florida Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Memk}er. REPRESENTATION OF PARTIES For Rolling Shield Parts, Inc. ("RSP") and Jose Delgado ("Delgado"), hereinafter collectively referred to as "Claimants": Lawrence A. K

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Elizabeth Dankman Names of the Respondents Brookstreet Securities Corp. Clifford Popper Stanley Clifton Brooks and Scott Stanley Brooks. Individually and as Trustees of the Brooks Family Trust National Financial Sen/Ices, LLC Norman Robert Malo Ellyn McColgan Ted Nelson Case Number: og-02500 Hearina Site: Boca Raton, Florida Natur

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03942 Nicholas M. Loeb Name of the Respondent Hearina Site: Boca Raton, Florida Lawrence Paul Caplan Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Nicholas M. Loeb, hereinafter referred to as "Claimant", appeared pro se. Lawrence Paul Caplan, hereinafter referred to as "Respondent", appeared pro se.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Andrew Michael Krynik vs. Case Number: Og-00503 Hearing Site: Dallas, Texas Names of Resr)Qndents H&R Block Financial Advisors, Inc. and Julie Veiseh Customer vs. Member and Non-Member REPRESENTATION QF PARTIES Andrew Michael Krynik ("Claimant") was represented by David C. Gunn. Esq., Law Office of David C. Gunn, Baytown, Texas. H&R Block Fin

stipulated Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 08-02890 Larry E. Weicht, II Name of the Respondent Hearina Site: Tampa, Florida Banc of America Investment Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Claimant Larry E. Weicht, II: V. Stephen Cohen, Esq., Williams Schifino Mangione & Steady, P.A.. Tampa, Florida until on o

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03738 Edward J. Schiavi (Claimant) vs. Southwest Securities, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Christopher M. Moody, Esq., Moody & Warner. P.C, Albuquerque, NM. For Respondent appeared Eric R. Hail, Esq.. Hunton & Williams LLP, Dallas, TX. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: June 16, 2009 CASE SUMMARY: Claimant asserted the following cause of action: expun

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01321 Robert Benward Roth/IRA and Robert Benward (Claimants) vs. Morgan Keegan & Company Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates LLC. Atlanta. GA. For Respondent appeared Rebecca L. Burnaugh, Esq., and S. Lawrence Pol)< , Esq., Sutherland Asbill & Brennan LLP. Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED

Award Data Award: $5,000.00 Award: $82.00 Award: $40.00 Interest: at the rate of nine percent (9%) per annum from February 9. 2009 to the date of payment of the award Costs: $750.00 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 $5,000.00. 2) Respondent is liable for and