AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Ronald Edward Hardy, Jr. vs. Name of Respondent / Counter-Claimant Thomas Zuil^owsky and Name of Third-Partv Claimant Thomas Zuilcowsky vs. Name of Third-Partv Respondent Aura Financial Services, Inc. Claimant Thomas Zulkowsky vs. Names of Respondents Aura Financial Sen/ices, Inc. and Ronald Edward IHardy,

AWARD FiNRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants Nicl(oias J. Batis and Carol Ann Batis vs. Names of Respondents Stifei Nicoiaus & Co., Inc. and Philip A. KontuI Case Number: 09-00235 i-iearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Nickolas J. Batis and Carol Ann Batis ("Claimants") were represented by Arnold

AWARD FINIRA Dispute Resolution in the Matter of the Arisitration Between: Names of Claimants Chariotte Lucas, individually and as Trustee of the Chariotte Lucas Trust dated 2/5/04 vs. Names of Respondents Broad Street Securities, Inc., HBB, Inc.. iVIichael J. Parker, Mary Phiiomena Mada, and Stuart Gregory Burchard Case Number 08-04604 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Member, Associated Persons

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael and Ann Gibson Living Tmst vs. Name of Respondent Interactive Broilers. LLC and Name of Third-Party Claimant Interactive Broilers, LLC vs. Name of Third-Partv Respondent Michael B. Gibson and Ann M. Gibson d/b/a Investment Enterprises. LLC NATURE OF THE DISPUTg Customers vs. Member REPRESENTATIOM OF PARTIES Michael and Ann Gib

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dean A. l\^yerow, Norman E. Wetmore, Jr. and Charles P. Gilbride vs. Name of Respondent Arkansas Affordable Housing Partners Case Number: 09-00658 Hearing Site: Columbus, Ohio NATURE OF Associated Persons vs. Customer REPRESENTATION OF PARTIES Dean A. Myerow, Norman E. Wetmore, Jr., and Charles P. Gilbride ("Individual Claimants")

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02669 Florence L. Campbell Butts Name of the Respondent Hearina Site: New Orieans, Louisiana Fifth Third Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Florence L. Campbell Butts, hereinafter referred to as "Claimant": Meredith A. Cunningham, Esq., Barasso Usdin Kupperman Freeman & Sarv

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the aain^ants Case Number. 08-00027 William A. Strong Genevieve H. Strong Betty Jane Strong The William A. Strong Family Limited Partnership LLLP The Strong Company. Inc. The Strong Company. Inc. Profit Sharing Plan The Strong Company, Inc. Retirement Plan William A. Strong GST Tmst William A. Strong GST Trust II William A. Strong Charitable Remainder Un

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Donato M. Giaquinto (Claimant) vs. Citigroup Global Marlcets Inc. (Respondent) Case Number: 08-01895 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Donato M. Giaquinto, hereinafter referred to as "Claimant": Donald P. Russo, Esq., Law OfTices of IDonaid P. Russo, Bethlehem, PA. Respondent Citigroup

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01320 The Benward Family Trust DTD 1/17/2000 (Claimant) vs. Morgan Keegan & Company Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates LLC. Atlanta, GA. For Respondent appeared Rebecca L. Burnaugh. Esq., and S. Lawrence Poll< , Esq., Sutherland Asbill & Brennan LLP. Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: Marc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: A. Jeffrey Bauhaus (Claimant) vs. Adam Scott Goldman and Merrill Lynch Pierce Fenner Smith (Respondents) Case Number: 08-04434 IHearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant A. Jeffrey Bauhaus hereinafter referred to as "Claimant": Debra M. Brown, Esq., Brown & Associates. Beverly Farm