AWARD FINRA DISPUTE RESOLUTION CASE: 09-01804 A.G. Edwards, a division of Wachovia Securities, LLC (Claimant) vs. Hobert K. Sanderson, Jr. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Renan I. Sugarman, Esq., Renan Sugannan, P.C Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Customer DATE FILED: April 2. 2009 CASE SUMMARY: Claimant asserted the following cause of action: default of t

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00121 Lois J. Hughes (Claimant) vs. Brian Wall and Darrin DeBok (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Kansas City, MO. For Respondents appeared Deirdre C. Wolf, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer v. Associated Persons DATE FILED: January 5, 2009 CASE SUMMARY: Claimant alleged that Respondents failed to follow her instructions to liquidate

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00463 Citigroup Global Markets, Inc. d/b/a Smith Barney (Claimant) vs. Robert M. Cotter (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Erin E. Mac Avoy, Esq., Alonso, Andalkar & Kahn, P.C, New York, NY. For Respondent appeared David L. Ward, Esq., Michaels, Ward and Rabinovitz. LLP, Boston, MA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED; January 29, 2009 CASE SUMMARY: Claim

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Douglas Michael Keyes vs. Case Number: 09-00066 IHearing Site: Detroit, Michigan Name of Respondent UBS Financial Services, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Douglas Michael Keyes ("Claimant" or "Keyes") appeared pro se. UBS Financial Services, Inc. ("Respondent" or "UBS") was represented by John D.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-02820 Wedbush Morgan Securities, Inc. Respondent Hearing Site: Los Angeles, Califomia Robert A. Whidden. II Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wedbush Morgan Securities, Inc. hereinafter referred to as "Claimanl": Charles LaChaussee, Esq., Wedbush Morgan Securities, Inc., Los Angeles, California

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Michael Caprioni (Respondent) Case Number: 08-00849 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Thomas A. Volz. Esq., and Ronald P. Kane. Esq.. Kane & Fis

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01583 Diane Buchanan as Trustee of the Buchanan Living Trust Dtd 4/26/03 and as Executor of the Estate of Marie P. Buchanan (Claimants) vs. Edward D. Jones and Co., L.P. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Jason T. Dennett, Esq., Carlson and Dennett, P.S.. Seattle, WA. For Respondent appeared Kimber L. Monroe, Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customers v. Member DATE FI

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00274 Prestige Financial Center, Inc., d/b/a Friedman Schnaier and Associates (Claimant) vs. Ronald Cantalupo (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent appeared pro se, New Rochelle, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 16, 2009 CASE SUMMARY: Claimant asserted the follow

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: IHenry A. Zurlo (Claimant) vs. Raymond James Financial Sen/ices, Inc., Joseph A. Galati, Steven Raiola, James R. Pimonte, and Thomas P. Francis (Respondents) Case Number: 05-05229 Hearino Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Henry A. Zurio hereinafter referred to as "Claimant": Nicholas

Award FINRA Dispute Resoiution In the Matter of tiie Art>rtration Between: Claimant Case Number: 08-04754 Credit Suisse Securities (USA) LLC Respondent Hearing Site: Dallas, Texas Investment Hunter, LLC Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant. Credit Suisse Securities (USA) LLC. hereinafter referred to as "Credit Suisse" or "Claimant": Allan N. Taffet. Esq., Duval & Stechenfeld LLP. New Yori(, New Yoric.