Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Radhakrishnan P. Nair (Claimant) v. UBS Financial Services, Inc. (Respondent) Case Number: 08-01786 Hearina Site: Hartford. Connecticut Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Radhakrishnan P. Nair hereinafter referred to as "Claimant" appeared pro se. Respondent UBS Financial Services. Inc.. hereinafter referred to as "Respondent": E.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Saundra Genoni (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Bradford Shaffer (Respondents) Case Number: 07-02208 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Saundra Genoni hereinafter referred to as "Claimant": Christopher C. Coss, Esq.. Coss & Momjian LLP

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Chase Investment Services Corp. (Claimant) vs. Brian Radoo and NEXT Financial Group. Inc. (Respondents) Case Number: 08-02059 Hearing Site: New York. New Yori^ Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Chase Investment Services Corp.. hereinafter referred to as "Claimant": Thomas J. Cahill, Esq.. Satterlee Steph

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04797 Estate of Barbara D. Whitener, Susan W. Parker. Executor ("Claimanf) vs. Jason Haney and Wachovia Securities. LLC, ("Respondents") REPRESENTATION OF PARTIES: For Claimant appeared Susan W. Parker, Roswell. GA. For Respondents appeared Alan S. Rafterman, Esq., In-house Counsel, Wachovia Securities, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04789 Harriet Pearlman and Alan D. Pearlman JT TEN AMA Account, ("Claimant") vs. NatCity Investments. Inc., ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Alan Pearlman, Boca Raton, FL. For Respondent appeared Joseph S. Simms, Esq., Ulmer & Berne LLP, Cleveland, OH. NATURE OF DISPUTE: Customer v. Member DATE FILED: Decemt>er15. 2008 CASE SUMMARY: Claimant alleged that R

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 08-03655 Richard and Margaret Wassel Names of the Respondents Hearing Site: Oriando, FL Morgan Stanley & Company, Inc. f/k/a Morgan Stanley DW, Inc. Mary Grace Meeker Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard and Margaret Wassel, hereinafter collectively refened to as "

Case Number: 08-00791 Hearing Site: St. Louis, Missouri IE DISPUTE Non-Members vs. Non-Member REPRESENTATION OF PARTIES Financial Solutions and Associates, Inc. ("FSA") and Michael G. Grimes ("Grimes"), hereinafter collectively referred to as "Claimants," were represented by Steven W. Koslovsky, Esq., Law Offices of Steve Koslovsky, LLC, Maryland Heights. Missouri. Barrington Capital Management, Inc. ("BCM" or "Respondent") was represented by Ronald M. A

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Alan K. Meinen, Jane A. Meinen, and The Meinen Family Partnership, Ltd. vs. Case Number: 08-00858 Hearing Site: Houston, Texas Names of Respondents American General Securities Incorporated, Shawn Edward Goheen, Goheen Financial Group, LP, Goheen and Associates, and GGG Holdings, LP NATURE OF THE DISPUTE Customers vs. Member, Non-Members, an

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John William Ingels vs. Case Number: 08-00792 Hearing Site: Chicago, Illinois Names of Respondents DWS Scudder Distributors, Inc., Margaret Adams, Deutsche Asset Management, Deutsche Bank AG, Deutsche Bank Trust Company Americas, Deutsche Bank Securities Inc., Deutsche Asset Management, Inc., Deutsche Asset Management Investment Services

Case Number: 08-02414 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES H&R Block Financial Advisors, inc. n/k/a Ameriprise Advisor Services, Inc. ("Claimant") was represented by Edward A. Walton, Esq., H&R Block Financial Advisors, Inc. n/k/a Ameriprise Advisor Services, Inc.. Detroit, Michigan and Ronald P. Kane, Esq.. Kane & Fischer, Ltd., Chicago. Illinois. Donald J. Dormody ("Respondent") appe