Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-01677 Mamita M. Crow and Jan C. Scmggs Wayne HIgglns, Executor of the Estate of Lorraine Higgins Shiriey Diane Jones Louis M. Kelley Ronald B. and Katherine H. Killary Paul and Shirley Vandertsurg Janice C. Ware Name of the Respondent Hearing Site: Birmingham, Alabama l\4organ Keegan & Company, Inc. Nature of the Dispute

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04790 Cliaries E. Solalc 401K Profit Sharing Plan Names of the Respondents Hearing Site: Fort Lauderdale, Florida Thomas Weisel Partners, LLC Jeffrey J. Parr John H. Shaw Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charies E. Solalc 401K Profit Sharing Plan, hereinafter referred

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01078 Elaine B. Lustig ("Claimant") vs. UBS Financial Services Inc., Linda Susan Inman and Barry Pollara ("Respondents") REPRESENTATION OF PARTIES: Claimant appeared pro se For Respondents UBS Financial Services Inc., Barry Pollara and Linda Susan Inman: Randi Perry Spallina, Esq., UBS Financial Services, Inc., Fort Lauderdale, Florida. NATURE OF DISPUTE: Customer v. Member and Associated Person. DATE FILED: Fe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 08-03311 Doug H. Brown, II Njame of the Respondent: Hearing Site: Reno, Nevada Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Doug H. Brown, II, hereinafter referred to as "Claimant": Jan Graham, Esq.. Graham Law Offices, Salt Lake City, Utah Respondent Charies Schwab & Co., I

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wells Fargo Investmente, LLC Name of the Respondent David M. Bryant Nanro of the Counter-Claimant: David M. Bryant Name of the Counter-Respondent: Wells Fargo Investments, LLC Case Number 06-04407 Hearing Site: Los Angeles, Califomia Nature of the Disputes: Member v. Associated Person Associated Person v. Member REPRESENTi

Award FINRA Diapute Reaolution in the Matter of tiie Art)itratlon Between: Claimant Case Number: 08-00368 Ahmad Ahmadian ResDondente Hearing Site: Denver, Colorado Wachovia Securities, LLC Calvin Boyd Mason Nature of the Dispute: Customer vs. Member and Associated Peraon REPRESENTATION OF PARTIES Claimant, Ahmad Ahmadian, hereinafter referred to as "Claimant": Thomas M. Haskins, Esq., Silver & DeBoskey, Denver, Colorado. Respondente,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 08-03113 Banc of America Investment Sen/lces, Inc. Name of the Respondent: Hearing Site: San Francisco, Calitomla Jason J. Rok)erte Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Sen/ices, Inc. hereinafter referred to as "Claimant": D. Daxton White. Esq., Kane & Fischer,

Award FINRA Dispute Reaolution In tiie Matter of the Arbitration Between: Claimant Case Number 08-00775 Horace Grant Respondent Hearing Site: Los Angeles. California Morgan Keegan & Company Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Horace Grant, hereinafter referred to as "Claimant": Andrew Stoltmann, Esq., Stottmann Law Offices, P.C, Chicago. Illinois. Respondent. Morgan Keegan & Company Inc., he

Award FINRA Diapute Reeolutlon In the Matter of the Arbitration Between: Name of the Ciaimante Victor Chang, Indh^lduaily and on behalf of tiie Victor Chang Charies Schwab & Co.. Inc. Oust IRA Rollover Case Number 08-02417 Name of the Respondent Charies Schwab & Co., inc. Hearing Site: Los Angeles, Califomia Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Victor Chang, individually CV. Chang") and on behalf

stipulated Award FINRA Diapute Reaolution In the Matter of the Art>ltration Between: Name off the Claimant Case Number 07-01890 Wachovia Securities. LLC Name off the Respondent Hearing Site: Portland, Oregon Michael J. MInervini Name off the Counter-Claimant MichaelJ. MInervini Name off the Counter-Respondent Wachovia Securities. LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF