STIPUUVTED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley DW, Inc. vs. Case Number: 05-05083 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Mark Adam Battaline NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley DW, Inc. ("Claimant" or "Morgan Stanley") was represented by Ronald P. Kane, Esq., Diane C. Fischer, Esq.. and Thomas

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: l\^ichael Lewis (Claimant) vs. Nordic Partners, Inc., (Respondent) vs. Anders Lindquist (Third-Party Respondent) Case Number: 07-03536 Hearing Site: New Yorl< , New Yori^ Nature of the Dispute: Associated Person vs. Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Michael Lewis hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle and Robinson. L.

Award FINRA Dispute Resolution In the l\^atter of the Arisitration Between: Alex Orloff (Claimant) vs. Lazard Asset Management, LLC and Lazard Asset i^anagement Securities, LLC (Respondents) Case Number: 09-00982 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Alex Orloff hereinafter referred to as "Claimant": Ruthann G. Niosi, Esq.. New Yori^. NY. Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Suzanne Stadler-DVir, Stonehouse Equities, Inc.. and JTLG Corp. (Claimants) vs. Alice Jean Solomon and Timothy J. Daly (Respondents) Case Number: 08-03717 Hearina Site: New York, New Yori^ Nature of the Dispute: Customers vs. Associated Persons. REPRESENTATION OF PARTIES Claimants Suzanne Stadler-DVir ("Stadler-DVir"), Stonehouse Equities, inc. ("Stonehouse Equities"), and JTLG

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: American Stone, Inc. (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 09-01122 Hearing Site: New York. New Yori< Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant American Stone, Inc., hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway. New Yorl^. NY. Respondent Merrill Lynch, Pierce,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of tiie Claimant: Case Number 08-03573 Mary C. Wagner Name of the Respondent: Hearing Site: Phoenix, Arizona Michael D. Stebbins Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES Claimant Mary C. Wagner hereinafter referred to as "Claimant": Pro Se, Giendaie, Arizona. Respondent Michael D. Stebbins hereinafter referred to as "Respon

Award FINRA Dispute Resolution in the Matter of the Artaitration Between: Claimant Case Number 08-03169 Larry Martinez ResDondente Hearing Site: San Francisco, California Thomas Seth Rubin Sean Lawrence IHarrison Jeffrey Martin Greeney Troy Neil Rasmusen James Eugene Galio Arthur Jess Aidatz Westcap Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Larry

Award FINRA Dispute Resolution in the Matter of the Arisitration Between: Claimant Case Number 08-02547 Dana J. Gribi Respondent Hearing Site: IHouston. Texas Morgan Steniey & Co., incorporated Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Dana J. Gribi, hereinafter refened to as "Claimant": Jacic W. Cunningham, Esq., The Fowler Law Finn, PC, Austin, Texas. Respondent, Morgan Steniey & Co., incorporated, h

Award FINRA Dispute Resdutlon In the Matter of the Arit)ltratlon Between: Name of the Clalmarte Case Number 08-01875 Patricia A. Meyer Robert H. Meysr Family Trust Patrida A. Meyer Survhfors Trust Name of the Reaooixient Hearing Site: Los Angeles, Califomla Morgan Keegan & Company, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Patricia A. Meyer ("Patricia Meyer*), Robert H. Meyer Family Trust ("R.H.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Marion Gail Buchanan and Lori Polen vs. Names of Respondents Sunset Financial Services, Inc. and Bryan S. Behrens Case Number: 08-03507 Hearing Site: Omaha. Nebraska Customers vs. Member and Associated Person Marion Gail Buchanan ("Buchanan") and Lori Polen ("Polen"), hereinafter collectively referred to as "Claimants," were represented by Richard