AWARD FINRA DISPUTE RESOLUTION CASE: 09-00700 Michael E. Castle ("Claimant") vs. Fifth Third Securities, Inc., and Charles Allen Huff, Jr. ("Respondents") REPRESENTATiON OF PARTIES: Claimant appeared pro se, Marysviiie, OH. For Respondents appeared Robert M. Zimmerman, Esq., Dinsmore & Shohl LLP, Cincinnati, OH. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: February 5, 2009 CASE SUMMARY: Claimant alleged misrepresentatio

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: D. Lee Bartell (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) Case Number: 08-02408 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant D. Lee Bartell hereinafter referred to as "Claimant": David E. Robbins. Esq., Kaufmann, Reiner, Yamin Gildin & Robbins. New York. NY. Respondent Charles Schwab & Co.. Inc., h

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Wayne Hummer Investments, LLC and Beverly Bank & Trust Company, N.A. vs. Case Number: 08-02433 Hearing Site: Chicago, Illinois Names of Respondents Citigroup Global Markets, Inc., Phillip Morrison Burno, Daniel G. Hack, Patricia Ann Marsh, Mary Patricia Anderson, Tracy O'Donnell Polselli, Michele C. Hughes, and Marybeth Ann O'Connor and

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Thomas L. Powell. Individually and on behalf of his IRA vs. Case Number: 06-05107 Hearing Site: Minneapolis, Minnesota Name of Respondent Men-ill Lynch, Pierce, Fenner & Smith, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Thomas L. Powell, Individually and on behalf of his IRA ("Claimant") was represented by Donald

Award FiNRA Dispute Resoiution In the Matter of the Art}itration Between: Claimant Banc of America Investment Sen/ices, Inc. Respondent Jeffrey S. Boettcher Counter-Claimant Jeffrey S. Boettcher Counter-Respondent Banc of America Investment Sen/ices, Inc. Case Number: 08-01524 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Count

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02148 Barry K. and Phyllis J. Bradshaw, Individually and as Trustees to the Barry K. and Phyllis J. Bradshaw Tmst Name of the Respondent Hearino Site: Little Rock, Arkansas Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATiON OF PARTIES For Banry K. and Phyllis J. Bradshaw. Individually and as

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-01945 Olga Stone as Trustee for the Olga M. Stone Servay Trust DTD 082697. Olga May Servay and Olga Stone as custodian for Anna Servey Names of the Respondents Hearino Site: Nashville, Tennessee Morgan Keegan & Company, Inc. James C. Kelsoe, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: ceo Investment Services Corp. (Claimant) vs. Carlos Martinez (Respondent) Case Number. 08-04188 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant CCO Investment Services Corp. ("Claimant"): David M. Belcher, Esq.. and Christine Fitzgerald. Esq., Belcher. Starr & Fitzgerald LLP, Boston. MA. Respondent Carlos M

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: D B Toy Products, Inc. and Marilyn Brechner TTEE Gertmde Sussel Irrevocable Trust (Claimants) v. Sky Capital, LLC and Patrick Rathje (Respondents) Case Number: 07-03351 Hearina Site: New York. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants D B Toy Products, Inc. ("D B Toy Products") and Marilyn Brechner TTEE Gertmd

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James D. Ritter and Maxim Growth Fund LP (Claimants) v. Eric L. Lyon, John G. Black, and Wachovia Securities Financial Network. LLC (Respondents) Case Number: 08-01045 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimants James D. Ritter ("Ritter") and Maxim Growth Fund LP ("Maxim Growth Fund"), h