Award FINRA Diapute Reaolution In the Matter of the Arbitration Between: Claimants Case Number 08-02307 Raymond Kelly Elsie Kelly Raymond O's Kelly & Elsie M.Ke U/A dtd 05/27/05 Raymond O's Kelly Rev Liv Trust U/A dtd 05/27/05 Raymond O's Kelly & Elsie M.Ke U/A dtd 05/27/05 Respondent Hearing Site: Reno, Nevada Charies Schwab & Co., Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants. Raymond Kelly

Award FINRA Dispute Resolution In the Matter of the AriJitration Between: Names of the Claimants Case Number: 08-01068 Joyce Wilfbng Maxine Street Name of the Respondent Hearinc Site: Memphis. Tennessee Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Joyce Wilfong ("Wilfong") and Maxine Street ("Street"), hereinafter collectively referred to as "Claimants": Dale Ledbetter, Esq., Ledb

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael P. Quinn vs. Case Number: 08-01536 Hearing Site: Chicago, Illinois Names of Respondents Lisa Julin, Bnjce & Gwendolyn Julin, and Michael & Marilyn McEvoy NATURg OF Associated Person vs. Customers Michael P. Quinn ("Claimant") was represented by Jeffrey T. Rogg, Esq., Miller, Canfield, Paddock & Stone, PLC, Detroit, Michigan

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Lou C. Soldato f/k/a Mary Lou Cammire vs. Case Number: 08-02472 Hearing Site: Chicago, Illinois Names of Respondents FSC Securities Corporation and Joseph S. Fabian and Name of Cross-Claimant FSC Securities Corporation vs. Name of Cross-Respondent Joseph S. Fabian NATURE OF THE DISPUTE Customer vs. Member and Associated P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Carol Dahl and Citicorp Investment Services (Claimants) vs. Michael M. Miley (Respondent) Case Number. 08-00640 Hearing Site: New York, New York Nature of the Dispute: Associated Person and Member vs. Customer REPRESENTATION OF PARTIES Claimants Carol Dahl ("Dahl") and Citicorp Investment Services ("Citicorp"), hereinafter collectively refeoed to as "Claimants'*: David Butler, E

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01953 Summit Brokerage Services, Inc. (Claimant) vs. Brad Nussbaum (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Chantel Grant. Esq., Summit Brokerage Services, inc., Boca Raton, FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 9, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of Licensee a

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01073 Banc of America Investment Services, Inc. (Claimant) vs. Dean S. Matthews (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diane C. Fischer, Esq., Kane & Fischer, Ltd.. Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 26. 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to honor

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Andrew Prophet (Respondent) Case Number: 08-04338 Hoarlrw Site: Hartford, Connecticut Nature of the Dispute: Member vs. Associated Person. BEPRESaiTATONflE f< ^RTIi§ Claimant Banc of America Investment Services, inc., hereinafter referred to as "Qaimant*: Diane C. Fischer, Esq.. and D. Daxton White. Esq., Kane &

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02219 Morgan Keegan & Co., Inc. (Claimant) vs. Victor G. Harberson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William McCourt Schmitt, Jr., Esq.. Morgan Keegan & Co., Inc., Memphis. TN. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: f^emberv. Customer DATE FILED: April 20, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. Th

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00638 Nancy C. Wood, Trustee (Claimant) vs. Bill Kearney, Steven Neibert, Merrill Lynch, Pierce, Fenner & Smith, Inc., and Michael Phillip (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Camarillo, CA. For Respondents appeared Eric J. Glassman, Esq., Mennemeier, Glassman & Stroud, LLP, Sacramento, CA. NATURE OF DISPUTE: Customer v. Associated Persons and Member DATE FILED: February 2. 2009