Stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 08-00072 Wachovia Securities Financial Networic, LLC Respondent Hearing Site: Reno, Nevada Donald Scott Peterson gounter-Claimant Donald Scott Peterson gounter-Respondent Wachovia Securities Financial Networi(, LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES C

Award FINRA Dispute Resolution In the Matters of the Arbitration Between: Name of the Claimant: D.R. Marshall Name of the Respondents: William Charies Wamky Raymond Ellis Jennison, Jr. First Canterbury Securities, Inc. Case Number 08-00684 Hearinc Site: Dallas, Texas Names of the Counterclaimants: Raymond Ellis Jennison, Jr. First Canterbury Securities, Inc. Name of the CountepResoondent: D.R. Marshall Nature of the Disputes

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David R. Smith as Tmstee of the David R. Smith Revocable Trust for the Benefit of David R. Smith vs. Names of Respondents Citigroup Global Maricets, Inc. f/k/a Salomon Smith Bamey. Inc. and Citigroup Alternative Investments, inc. Case Number: 08-02543 Hearing Site: St. Louis. Missouri NATURE OF THE DISPUTE Customer vs. Member and Non-Member

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Bobby Hurt vs. Case Number: 08-02721 IHearing Site: Louisville, Kentucl^y Name of Respondent / Counter-Claimant Franl< Blacic and Name of Third-Party Claimant Frank Black vs. Name of Third-Party Respondent James Stephen Davenport NATURE OF THE DISPUTE Customer vs. Associated Person REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of tiie Claimant Case Number: 08-04250 Charlotte E. Comfort Names of the Respondents Hearing Site: Richmond, VA ING Direct Securities inc. Sharebuilder Securities Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Charlotte E. Comfort, hereinafter referred to as "Claimant", appeared pro se. For ING Direct Securities Inc. ("ING") an

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03347 Ray Gatten Name of the Respondent Hearing Site: Charlotte, North Carolina Ferris, Baiter Watts, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Ray Gatten ("Gatten"), hereinafter referred to as "Claimant": J. Pat Sadler. Esq., Sadler & Hovdesven, P.C, Atlanta, Georgia. For F

Award FINRADispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01666 Daniel P. Rayburn, IRA Name of the Respondent Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Daniel P. Rayburn, IRA, hereinafter refeoed to as "Claimant": Richard S. Frankowski, Esq., Burice Harvey & Frankowski, LLC, Bimiingham, Alabama. F

Award FINRA Dispute Resolution In the Matter of the Artsltration Between: Claimant Case Number 08-04554 Richard C. Liechty Respondents Hearing Site: Denver, Colorado ETrade Securities LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Richard C. Liechty hereinafter referred to as "Claimant": Richard C. Liechty, In Pro Se, Denver, Colorado. Respondent E*Trade Securities LLC hereinafter referred to as "Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Numt>er: 08-00397 Elizabeth Gayie ResDondente Hearing Site: Houston, Texas Wachovia Securities, LLC Prudential Equity Group, LLC Ryan Wrebieslce Nature of the Dispute: Customer vs. I^embers and Associated Person REPRESENTATION OF PARTIES Claimant, Elizabeth Gayie, hereinafter refened to as "Claimant": J. Marie Brewer, Esq., and Sondra Jurica, Esq.,

Case Number: 08-04089 Hearing Site: Chicago, Illinois Member vs. Associated Person Morgan Stanley DW, Inc. (Xtaimanr) was represented by Renan Sugannan, Esq., Renan Sugamnan, P.C, Chicago, Illinois. Chris Minor ("Respondent" or "Minor") appeared pro se. The Statement of Claim was filed on or about October 30, 2008. The Submission Agreement of Claimant was signed on or about October 25, 2008, by Eric Chial, Esq. The Statement of Answer was filed by Respondent