FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04851 Charles J. Lieberman, and Charles Liebennan and Ruth Lieberman, Trustees, ("Claimants") vs. USAA Investment Management Company, ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared Charles Liebennan, Los Angeles. CA. For Respondent appeared Janis Reeder. San Antonio, TX. NATURE OF DISPUTE: Customers v. Member DATE FILED: December 18. 2008 CASE SUMMARY; Claimants allege

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00256 John J. Udovich, ("Claimant") vs. T.D. Ameritrade, Inc., ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Port Jefferson, NY. For Respondent appeared James J. Vihstadt. In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 14. 2009 CASE SUMMARY; Claimant alleged that he sustained losses when Respondent contrary to Its agreement l

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Philip Richardson, as Trustee of the Philip Richardson Revocable Trust Kay Richardson, as Trustee of the Philip Richardson Revocable Trust Name of the Respondent Morgan Keegan & Company, Inc. Case Number: 08-01333 Hearina Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Philip Richardson, a

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Barbara J. and Robert V. Hinshaw vs. Case Number: 04-05955 Hearing Site: Indianapolis, Indiana Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Bamey, Inc. and Jack B. Grubman NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Barbara J. and Robert V. Hinshaw ("Claimants") were repr

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Brian McDonald vs. Case Number: 08-01204 Hearing Site: Dallas, Texas Name of Respondent / Third-Partv Claimant Regal Securities, Inc. vs. Name of Third-Partv Respondent Robyn L. Reagan NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Brian McDonald ("Claimant") was represented by Retta Miller, Esq., Ross Forbes, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: IHenry W. Archer (Claimant) vs. TO Ameritrade, Inc. (Respondent) Case Number: 07-03394 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimant Henry Archer hereinafter referred to as "Claimant" appeared pro se. Respondent ID Ameritrade, Inc., hereinafter referred to as "Respondent": James J. Vihstadt, Esq., ID Ameritrade,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kurt 5. Lichtman (Claimant) vs. RBS Greenwich Capital (Respondent) Case Number: 08-000732 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Kurt 8. Lichtman hereinafter referred to as "Claimant": Jeffrey L. Liddle. Esq., Liddle & Robinson, LLP, New York, NY. Respondent RBS Greenwich Capital hereinafter referr

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04339 Darrja Elizabeth Kosich, ("Claimant") vs. Wachovia Securities LLC and David C. Nelson, ("Respondents") REPRESENTATION OF PARTIES: Claimant appeared pro se, San Francisco, CA. For Respondents appeared Deirdre Wolff, Esq., In-house Counsel, Wachovia Securities LLC. St. Louis. MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: November 19. 2008 CASE SUMMA

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Thomas Moran Names of the Respondents Joseph Vella Martha Obeldobel f/k/a Martha Vella Luellen Young, individually Luellen Young, as surviving spouse of Richard Young, deceased Prudential Equity Group, LLC Case Number: 08-01182 (consolidated with 08-01183) Hearing Site: Tampa, Florida In the Matter of the Arbitration Between: Name of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02004 Wachovia Securities, LLC Name of the Respondent Hearing Site: Washington. D.C. Joseph A. Connor, IV Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC ('Wachovia"), hereinafter refen^ to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arilngton. VA.