Amended Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04333 Robert W. Baird & Co., Inc. Names of the Respondents Hearing Site: Fort Lauderdale, Florida Robert S. Gesdorf Bradford K. I^^arshall Thomas M. Palmer Shelagh M. Stewart Nature of the Dispute: l\/1emb6r vs. Associated Person. REPRESENTATION OF PARTIES For Robert W. Baird & Co., Inc., hereinafter referred to as "Cl

Award FiNRA Dispute Resolution In the Matter of the Arbitratton Between: Name of the Claimant Case Number 08-02990 George Kostuch, Jr. Names of the Respondents Hearing Site: New Orieans, Louisiana Morgan Keegan & Company, Inc. James C. Kelsoe Regions Financial Corporation RMK Advantage Income Fund, Inc. RMK Strategic Income Fund, Inc. RMK High Income Fund, Inc. Morgan Asset Management, Inc. MK Holding, Inc. Nature of the Dispu

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 08-03262 Jose Oriando Moscoso Aguirre Williams Baina Antezana Names of the Respondents Hearing Site: Oriando, FL Orion Trading, LLC, a/k/a Brokeriatino.com Michael A. Zurita Hector J. Gallardo Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jose Oriando Moscoso Aguirre and Willia

Award FINI^ Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 08-04147 Citigroup Global Mari^ets. Inc. d/b/a Smith Barney Name of the Respondent Hearina Site: Cleanwater, FL Michael Pels Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Mari^ets, Inc. d/b/a Smith Barney ("Citigroup"), hereinafter refen^d to as "Claimant": Erin E. Mac Avoy, Esq.

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Ameriprise Advisor Services, Inc. vs. Case Number. 09-00550 Hearing Site: Chicago, Illinois Name of Respondent William Clayton Stroup Member vs. Associated Person Ameriprise Advisor Services, Inc. ("Claimant") was represented by Ronald P. Kane, Esq. and D. Daxton White, Esq., Kane & Fischer, Ltd., Chicago, Illinois. William Clayton Stroup ("Responde

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John Nicholas Pollard. Individually and as Co-Executor of the Estate of Jane Thomason Pollard. Deceased. Pursuant to Her Last Will and Testament dated October 13,1995; Also as Attomey-ln-Fact for Catherine C. Etheridge Case Number: 08-02916 Appointed March 1,2006; Mary Elizabeth Pollard, Hearing Site: Dallas. Texas Individually and on Behalf of the Mar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Wealth Management (Claimant) vs. Newell Anderson (Respondent) Case Number: 09-00095 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant RBC Wealth Management hereinafter referred to as "Claimant": Joseph Keenan, Esq., McCanliss and Early LLP, New York, NY. Respondent Newell Anderson hereinafter refe

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Regal Securities, Inc. (Claimant) vs. Irving Martinez and Jaime Rodriguez (Respondents) Case Number: 08-00477 Hearing Site: New Yorl< . New York Nature of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Regal Securities, Inc. ("Claimant"): Nicholas P. lavarone, Esq., The tavarone Law Office, Glenview, IL. Respondent Irving Martinez ("Martinez")

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Mari^ets, inc. d/b/a Smith Barney (Claimant) vs. John Leonetti (Respondent) Case Number: 08-04393 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc. d/b/a Smith Barney, hereinafter referred to as "Claimant": Catania T. Facher, Esq.. Alonso. Andalkar & Kahn. P.