Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 06-00240 Meniii Lynch. Pierce, Fenner & Smith Incorporated Name of the Respondent: Hearing Site: Los Angeles, Califbmia Marie Rossel Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce. Fenner & Smith Incorporated hereinafter referred to as "Claimant": Patricia Tsipras, Esq., Rubin

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant: Case Number: 08-03213 F^ndal B. Brown, Individually and as Trustee of The Randal Brown Trust U/A DTD 01/25/1996 and on behalf of the Randal B. Brown IRA Rollover Name of the Resoondent: Hearing Site: Los Angeles, Califbmia Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Randal B. Brown

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number. 08-01154 Richard Soshea Respondent Hearing Site: Seattle, Washington Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Memt)er REPRESENTATION OF PARTIES Claimant, Richard Soshea, hereinafter referred to as "Claimant": Thomas F. Burke, Esq.. Law OfTices of Thomas F. Buri^e, Chicago, Illinois. Respondent. Morgan Keegan & Company. I

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-02213 Grace Pipitone Charles Poehlitz Estate of Augustus Pickens Evelyn Jones Grover Drum Estate of Pauline Sweet Names of the Respondents Hearing Site: Baltimore, Maryland SunTrust investment Services, Inc. Uzo Omar Chima Names of the Third Partv Respondents J. Michael Holloway Terry K. Sullivan Holloway & S

Award FINRA Dispute Resolution In the Matter of the Ari3itratlon Between: Names of the Claimants Case Number 08-00179 Henry Klosky Patricia Klosky Name of the Respondent Hearing Site: Memphis, Tennessee Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Henry Klosky and Patricia Klosky, hereinafter collectively referred to as "Claimants": H. Naill Falls, Jr., Esq., Falls & Veach. Nashville,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04491 Dan Schmeidler, ("Claimant") vs. Charles Schwab & Co., Inc., ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Los Angeles, CA. For Respondent appeared Mai Klaassen, Esq., In-house Counsel, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 28, 2008 CASE SUMMARY: Claimant alleged that Respondent is accountable for losses to his trading

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04433 Jamie K. Page, ("Claimant*') vs. Steven Robert Rosen, ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Granbury, TX. For Respondent appeared Adam Kauff, Esq., Citigroup Global Maricets, Inc., New Yoric, NY. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: November 24, 2008 CASE SUMMARY: Claimant alleged that Respondent made an unsuitable recommen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kals l^aalej (Claimant) vs. Scottrade, Inc. (Respondent) Case Number: 08-01777 Hearino Site: Nevi^ York, New Yori« Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Kais Maalej hereinafter referred to as "Claimant" appeared pro se. Respondent Scottrade, inc.. hereinafter referred to as "Respondent": Ryan M. Blum, Esq., Scottrade, Inc., St. Louis, MO.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Santanu Bhattacharya and Gargi Dasgupta (Claimants) vs. Chicago Investment Group LLC and Mitesh Shere (Respondents) Case Number: 08-02437 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Santanu Bhattacharya ("Bhattacharya") and Gargi Dasgupta ("Dasgupta") hereinafter collectively refen-ed to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Johnston and Clotilda J. Johnston (Claimants) vs. David Lerner and Associates (Respondent) Case Number: 07-03529 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATiON OF PARTIES Claimants Richard Johnston (R. Johnston") and Clotilda J. Johnston ("C. Johnston"), hereinafter collectively referred to as "Claimants": Benjamin Lapin and