Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 08-03307 Albert Longix}tham Trust Respondent Hearing Site: Portland, Oregon Morgan Stanley DW, Inc. rMa Morgan Stanley & Co., Incorporated Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Albert Longbotham Trust, hereinafter referred to as "Clainfiant": Rolsert S. Banks, Jr., Esq., The Banics l^w Offices, P.C.. Portlan

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00346 G. Reagan Shanley III and Deidre F. Stanley Ten/Com ("Claimants") vs. Charles Schwab & Co.. Inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared G. Shanley Reagan, III, New Canaan, CT. For Respondent appeared Evelyn A. Christensen, Esq., Keesal. Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: January 22, 2009 CASE SUMMARY: Claimants alleged losses as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Smith Barney Division of Citigroup Global Markets. Inc. f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Gerald Grossman, Stanley Lerner, Eric Boory, Scott Lerner, Eric Stevens, and Morgan Stanley DW Inc. (Respondents) Case Number: 06-03828 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Persons and Member. REPRESENTATiON OF PARTiES Claim

Award HNi^ Dispute Resolution In the Matterof the Arbitration Between: Name of the Claimante Nancy Jolcerst: Rev. William McLean; David E. Anderson and Rev. Loren L. Rtebe Name of the Respondente Emmett A. i-aricin Company, inc. and Michael Andrew Dawes Case Number 08-02069 Hearinc Site: Los Angeles, Caiifomia NatereofttierDisputerCu^ REPRESENTATION OF PARTIES Claimante, Nancy Jokerst ("N. JokersT), Rev. William McLean ("Rev. W. M

Award FINRA Dispute Resolution In the Matters of the Ari3ltration Between: Name of the Claimant: Wedbush Morgan Securities Inc. Name of the Respondents: Donald K. McGhan Richard W. Talley Tailey & Company Name of the Counter-Claimant: Talley & Company Name of the Counter-Resoondent: Wedbush Morgan Securities Inc. Case Number 04-02355 Hearing Site: Los Angeles, Califbmla Nature of the Disputes: Member vs. Customer, Member, and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 09-00592 Shamshudin Ladha Laiji Zarina Shamshu Laiji Respondent Hearing Site: Los Angeles, Califbmla Citigroup Global Markets Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Shamshudin Ladha Laiji and Zarina Shamshu Laiji, hereinafter collectively refened to as Xiaimants": Shamshudin Ladha Laiji, In Pro Se,

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants George O. Miles and Sharon K. Miles vs. Names of Respondents Wachovia Securities, LLC, Gerald Herbert Rabin, and Gregory Edward Ek Case Number: 08-04505 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES George O. Miles and Sharon K. Miles ("Claimants") appeared pr

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04749 Cheryl Jordan ("Claimant") vs. Morgan Stanley & Co., Inc.. and Stephen Daniel La Cour ("Respondents") REPRESENTATION OF PARTIES: ~~ " Claimant appeared pro se, Tiburon, CA. For Respondents appeared Braden O. Wilhelm, Esq., Morgan Stanley & Co., Inc., San Francisco. CA. NATURE OF DISPUTE: Customer v. Member and /Associated Person DATE FILED: December 15, 2008 CASE SUMMARY: Claimant alleged that Res

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00523 Judith Ann Mitschke ("Claimant") vs. Charles Roger Webster ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Bloomfield, NJ. Respondent Charles Roger Webster did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: February 2. 2009 CASE SUMMARY: Claimant alleged that Respondent's fraudulent claims about the investment product sold t

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00617 James Barron ("Claimant") vs. Fidelity Brokerage Services, LLC ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Natick, MA. For Respondent appeared Diane M. Brown. Esq., Fidelity Brokerage Services, LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 2, 2009 CASE SUMMARY: Claimant asserted the following causes of action: negligence, breach of fiduciary duty,