Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Elizabeth O. Muller, Individually, Robert R. Muller and Elizabeth O. S. Muller Tmst U/A DTD 4/23/07. Robert R. Muller IRA. Robert R. Muller Profit Sharing Plan, and Elizabeth O. Muller IRA (Claimants) vs. Morgan Keegan & Company, Inc. (Respondent) Case Number: 08-03064 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATiON OF PARTIES

FSNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01704 Veronica Harrison and Kim Hafner ("Claimants") vs. PNC Investments, Michael Joseph Elias, and John Paul IHolodinski, ("Respondents") REPRESENTATION OF PARTIES: For Claimant appeared Michael W. Hoffman, Esq., Maselli Warren, P.C, Princeton, NJ. For Respondents appeared Brian A. Carlis, Esq., Stark & Stark, Princeton, NJ. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04300 Curtis Stewart, ("Claimant") vs. Merrill Lyncli, Pierce, Fenner & Smith, Inc., ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared John N.C. Ledbetter, Esq., Ledbetter & Gilmore, P.L., Destin, FL. For Respondent appeared Julie Wilson Portera, Esq., Maynard, Cooper & Gale, PC, Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 17, 2008 CASE S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-04879 Beatrice Dreisen, Trustee and Elizabeth Kono, Co-Tmstee, FBO Beatrice Dreisen U/A/D 01/09/90 Name of the Respondent Hearina Site: Miami. Florida Citigroup Global Maricets, Inc., a/k/a Smith Barney Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Beatrice Dreisen, Trustee and Elizabeth Kono. Co-

stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 08-00380 Fredda Levitt Carol K. Segal William Siegei Names of the Respondents Hearing Site: Miami, Florida Merrill Lynch, Pierce Fenner & Smith Inc. United Capital Markets, Inc. John Devaney Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Fredda Levitt ("Levitt"),

Awaixl FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00530 Wachovia Securities, LLC Name of the Respondent Hearing Site: Raleigh, NC Charles C. Griffin Nature of the Dispute: Member vs. Associated Person. REPRESENTATiON OF PARTIES For Wachovia Securities, LLC ("Wachovia"), hereinafter referred to as "Claimant": Deborah G. Evans, Esq. and Brady J. Hermann, Esq., Michaels, Ward & Rabinov

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael F. Maloney (Claimant) vs. Banc of America Securities LLC (Respondent) Case Number: 08-00441 Hearino Site: New Yori< , New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael F. Maloney hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle & Robinson, L. L. P. New Yorl?, NY. Respondent Banc of America Securi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sylvia Greenberg, Steven Greenberg & William Greenberg (Claimants) vs. Capital Growth Financial. LLC f/k/a CGF Securities, LLC f/k/a Capital Growth Securities LLC f/k/a INTL Capital Growth. Ltd. (Respondent) Case Number: 08-00362 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Sylvia Greenberg ("Greenberg"), Steve

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04509 David J. Rothschild, ("Claimant") vs. Fidelity Brokerage Services LLC, ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se. Highland Park, IL. For Respondent appeared Diane M. Brown, Esq., In-house Counsel, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 1. 2008 CASE SUMMARY: Claimant alleged that he sustained losses when Respondent transferre

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00171 Nicholas C. Cochran, ("Claimant") vs. E*Trade Securities LLC, ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, San Jose, CA. For Respondent appeared John Bersin, Esq., In-house Counsel, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 8. 2009 CASE SUMMARY: Claimant alleged that Respondent failed to execute a timely placed order to purchas