AWARD FINRA DISPUTE RESOLUTION CASE: 09-00901 Arthur F. Arnell and Lois E. Arnell Trustees of The Arnell Family Trust dated 05/06/1992 ("Claimants") vs. Charles Schwab & Co., Inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared Arthur F. Arnell, San Jose, CA. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co.. Inc., San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: February 18. 2009 CASE SUM

AWARD FINRA DISPUTE RESOLUTION CASE: 08-03752 David Friedman ("Claimant") vs. MBSC Securities Corporation d/b/a Dreyfus Retail Services ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, New York, NY. For Respondent appeared Christopher R. Travis. Esq.. Lazare, Potter and Giacovas. LLP, New York. NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 14, 2008 CASE SUMMARY: Claimant asserted the following causes of action

Award FINRA Diapute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00622 William C. Patterson, IV and Candace Patterson Name of the Respondent Hearing Site: Atlante, Georgia Century Securities Associates, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William C. Patterson, IV and Candace Patterson, hereinafter collectively referred to as "Claimants": Steven J. Ga

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03485 Oppenheinier & Co.. a division of Fahnestock & Co., Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Lisa Delphin, Personal Representative of the Estate of James Delphin Name of the Third Partv Respondent CIBC Worid Market Corp. Nature of the Dispute: Member vs. Associated Person vs. Member. REPRESENTATION O

Award FINRA Diapute Resoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02454 Donald Carter Nancy Carter Lauren Eve Carter Educational Trust Lauren Carter Millennium Tmst Stephanie Esther Carter Educational Trust Stephanie Carter Millennium Trust Nancy Carter & Stephanie Asch ig92 Trust Nancy Carter & Kevin Asch Trust Maxine Half Revocable Trust Jennifer Carter Names of the Respondents H

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Ciaimante Case Number: Og-04121 Paul J. Lahare Kathleen S. Lahare Names of the Resoondente Hearina Site: New Orleans. Louisiana Kathy Mason Matthew Cotton Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Paul J. Lahare appeared pro-se. For Claimant Kathleen S. Lahare: Paul J. Lahare, Personal Representetive, M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCiaimant: Case Number 08-02255 Hung Hoang Name of the Respondent: Hearing Site: San Francisco, Califomia TD Ameritrade, Inc. Natore of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Hung Hoang, hereinafter refened to as "Claimant": James T. Kim, Esq., Attomey at Law, San Jose, Califomia Respondent TD Ameritrade, Inc., hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 08-02048 Carol H. Ruch Respondent Hearing Site: Denver, Colorado Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Carol H. Ruch, hereinafter referred to as "Claimant": Thomas L. Krebs, Esq., Haskell Slaughter, Bimfiingham, Alabama. Respondent, Morgan Keegan & Company, Inc., hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ciaimante Case Number 08-03736 Natesha Shiiapnilcoff Rodion Nahapetov Respondent Hearina Site: Los Angeles. Caiifbmla Citigroup Global Maritete, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Natasha Shiiapnikoff and Rodion Nahapetov. hereinafter collectively refened to as "Claimants": Kiric G. Smith. Esq., Shepherd Smith Edward

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: NameoftheCiaimant Case Number 08-03675 Robert Scott Buchanan Name of the Respondent Hearing Site: Oriando, FL Fidelity Brokerage Services, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Robert Scott Buchanan, hereinafter refened to as "Claimant", appeared pro se. For Fidelity Brokerage Sen^ices, LLC ("Fidelity"), hereinafter referred to as