AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Victoria A. Williamson vs. Case Number: 08-02689 Hearing Site: Cleveland, Ohio Names of Respondents Wachovia Securities. LLC, Pnjdentlai Equity Group, LLC, and Monica Malhoit MATURE OF THE DISPUTE Customer vs. Members and Associated Person RgPRESgNTATION OF PARTIES Victoria A. Williamson ("Claimant") was represented by Richard R. Malone, Esq.

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimants Case Number: 07-03507 Lacoe B. Alltop. Sr., c/o Lacoe B. Alltop, Jr., P.O.A. Lacoe B. Alltop, Jr.. Individually John L. Alltop Robert M. Jordan Name of the Respondent Hearina Site: Baltimore, Maryland Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Lacoe B. Alltop, Sr. ("Alltop, Sr."), Lacoe

Award FiNRA Dispute Resolution In the iVIatter of the Arbitration Between: Name of the Claimant Case Number: 08-01106 William Spivey, Executor, Trustee, and Heir of tiie Estate of Lowell D. Adams, and Successor in Interest of Lowell D. Adams Name of tiie Respondents Hearina Site: Atlanta, Georgia Edward D. Jones & Co., LP. Charles Henry Wideman, III Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00158 Nilmaris Negron Cardona Names of the Respondents Hearina Site: San Juan, Puerto Rico UBS Financial Services Incorporated of Puerto Rico David J. Lugo Sanchez and his wife Marian Ramos, both by themselves, and in representation of the conjugal partnership comprised by them Nature of the Dispute: Associated Person vs. Member,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of tine Claimant Case Number 08-01866 Therist E. Tiieroit, Individually and for his IRA Names of the Respondents Hearing Site: New Orieans, Louisiana Morgan Keegan & Company, Inc. Regions Financial Corp. Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Therist E. Theroit, Individually and for his IRA, hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-03217 Wayne Kreisberg Melissa Kreisberg Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley & Co.. Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Wayne Kreisberg and Melissa Kreisberg, hereinafter collectively referred to as "Claimants": Neil B. Solomon, Esq., Neil B. S

Stipulated Award FINRA Dispute Resolution in ttie Matter of the Arbitration Between: Claimant Case Number 07-03149 Morgan Stanley & Co. incorporated Respondent Hearing Site: Dallas, Texas Andy Williams aica Andrew F. Williams. Jr. Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co. Incorporated hereinafter referred to as "Morgan Stanley" or "Claimant": Robert L. Tobey, Esq.. Johnston

Award FINRA Dispute Resolution in the Matter of the Ariaitration Between: Claimant Case Number: 08-03574 H&R Btock Financial Advisors, Inc. Respondent Hearing Site: Los Angeles, Califomia Thomas K. Heinz Teltscher Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, H &R Block Financial Advisors, Inc., hereinafter refened to as "Claimant": Edward Walton, Esq.. H&R Block Financial Advisors, Inc., Detroit, Mic

Stipulatod Award FINRA Dispute Resolution In the Matlerof the Art)itration Between: Name of the Claimant Case Number 08-00285 GuyHirsch,M.D. Name of the Respondents Hearing SHe: Dallas, Texas Rrst Asset Rnandal Ina SunAmerIca Securities, Inc. and Keny Theo Campbell Nature of the Dispute: Customer vs. Members and Associated Person REPRESEWTATIOli OF PARTIES Claimant, Guy HIrsch, M. D., hereinafter referred to as "Clainfiant": George L

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01777 Myies Klein TTEE FBO MRK Revocable Trust (Claimant) vs. Smith Barney, a Division of Citigroup Global Markets, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Aventura, FL. For Respondent appeared Adam Kauff, Esq., Citigroup Global Markets. Inc., New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 26, 2008 CASE SUMMARY: Claimant asserted the following cause of a