Award FINRA Disputo Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00300 David S. Cutler Name of the Respondent Hearina Site: Washington. D.C. Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For David S. Cutler, hereinafter referred to as "Claimant": David Hanison, Esq., Law Offices of David Harrison, Beveriy IHills, CA. For Charies Schwab & Co., I

Award FINi^ Disputo Resolution In the Matter of the Arbitration Between: Names of the Ciaimante Case Number: 08-03829 Richard J. Zachar and Dawn K. Zachar Name of the Respondent Hearina Site: Boca Raton, Florida Fidelity Brolcerage Sen/ices, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Ciaimante Richard J. Zachar ("R. Zachar") and Dawn K. Zachar ("D. Zachar"), hereinafter collectively referred to as "Ciaimante", a

Award FiNi%A Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Raymond James & Associates, Inc. Name of the Respondent Walter Woodrick Case Number: 08-01582 (consolidated with 08-01668) Hearing Site: New Orieans, Louisiana In the Matter of the Arbitration Between: Name of the Claimant Walter Woodricic Names of the Respondente Raymond James & Associates, Inc. Joe. T. King Case Number: 08-01668

Award FiNi^ Dispute Resolution In the Matter of the Arbitration Between: Isiame of the Claimant Case Number: 08-01066 Claude D. Jones and Svitlana Morgan, Attomey-ln-Fact for Claude Jones Name of the Respondent Hearing Site: Tampa, Florida Morgan Keegan & Co., Inc. Nature of the Disputo: Customer vs. Member. REPRESENTATION OF PARTIES For Claude D. Jones and Svitlana Morgan, Attomey-ln-Fact for Claude Jones, hereinafter referred to as "Cla

stipulated Award FiNRA Disputo Resolution In the Matter of the Ariaitration Between: Name of the Claimant Case Number: 08-01044 Gerald R. Benjamin Names of the Respondente Hearing Site: Atlante, Georgia Navigant Capitel Advisors, LLC Navigant Consulting, Inc. Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES For Gerald R. Benjamin, hereinafter refened to as "Claimant": Andrew J. Bernstein, Esq.,

Award FINI^ Dispute Resolution In the Matter of the Arbitratton Between: Name of the Claimant Case Number: 09-00018 Charlotte D. Botello Revocable Tmst Name of the Respondent Hearina Site: Washington. D.C. Global Brokerage Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Chariotte D. Boteiio Revocable Trust, hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq.. Law Office of Howard M. Rosen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00925 United Prison Ministries Name of the Respondent Hearina Site: Birmingham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For United Prison Ministries, hereinafter refened to as "Claimanf: Debra Brewer Hayes, Esq. and Eric O'Steen, Esq., The Hayes L^w Firm, Houston, Tex

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01809 Morgan Keegan & Company, inc. Name of the Respondent Hearing Site: Ft. Lauderdale, Florida John E. Egan Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Joseph B. Alonso, Esq. and Dan Wirth, Esq.. Broci^. Clay, Calhoun & Roger

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Tocco (Claimant) vs. Walter J. Dowd, Inc. (Respondent) Case Number: 08-01828 Hearina Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Peter Tocco hereinafter referred to as "Claimant": Ethan A. Brecher, Esq., Liddle & Robinson. L.L.P.. New York. NY. Respondent Walter J. Dowd, Inc.. hereinafter referred to as "

Award FINF(A Dispute Resolution In the Matter of the Arbitration Between: Louis Basel and Penelope Basel (Claimants) vs. Wachovia Securities. LLC and Neophytes Ganiaris (Respondents) Case Number: 08-03999 Hearina Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Louis Basel ("L. Basel") and Penelope Basel ("P. Basel"), hereinafter collectively referred to as "Claimants": Ke