AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Pennie L. Roberts, Individually and as Trustee of the Pennie L. Roberts Revocable Trust, and Craig Roberts vs. Case Number: 08-00029 Hearing Site: Cincinnati, Ohio Names of Respondents Wachovia Securities, LLC. Scottrade, Inc., and Patrick Sowers NATURE OF THE DISPUTE Customers vs. Members and Associated Person REPRESENTATION OF PARTIES

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Edward A. and Phyllis J. Garabedian vs. Case Number: 04-04964 Hearing Site: Detroit, Michigan Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Bamey, Inc. and Jack B. Gmbman Customers vs. Member and Associated Person Edward A. and Phyllis J. Garabedian ("Claimants") were represented by William B. Young, Esq., Colling, Gilbert

Award FINRA Dispute Reaolutlon in the Matter of the Arbitration Between: Name of the Claimant: The Estate of Mary A. Musll Case Number: 08-01002 Name of the Respondents: Wachovia Securities, LLC A.G. Edwards & Sons, Inc. Prudential Equity Group, LLC Wells Fargo Securities, LLC Pnjdential-American Securities, inc. Hearino Site: San Francisco, Califomia Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant T

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 08-01488 Matthew Van Thoumout Name of the Respondent: Hearina Site: Boca Raton, Florida vFinance Investments, inc. Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTigS For Matthew Van Thoumout, hereinafter referred to as "Claimant": Peter V. Fuilerton, Esq., Douglas J. Jeffrey, Esq., and Miguel A. Bri

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00489 John Francesconi Names of the Respondents Hearing Site: Richmond, VA Dixon David Handwert^ Michael James Thaler Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For John Francesconi, hereinafter referred to as "Claimant": Alice Stewart, Esq., Duquesne University Law School, Pittsbur

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 08-01140 Dennis Contois, Individually and as Tmstee of the Contois Living Trust Jane Contois as Trustee of the Contois Living Trust Rose Contois Name of the Respondent Hearina Site: Oriando, FL Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dennis Contois, Individual

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01095 Larry IHough, Individually and on behalf of his minor children, Adam Michael Hough and Austin Lawrence Hough Name of the Respondent Hearina Site: Nashville, Tennessee Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Larry Hough, individually and on behalf of his mino

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 08-00491 Louis Duane Velez Name of the Respondent Hearing Site: Little Rocit. Arlcansas Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Louis Duane Velez, hereinafter referred to as "Claimant": Jeffrey Sonn, Esq.. Sonn & Erez, PLC, Fort Lauderdale, Florida. For Morgan Keegan & C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants: Jin O. Cha Ulan Kim Jun H. Kwon Terry and Chong M. Cha Charles and Sara Cho Sang Kyun Kim Paper Design Clothing, inc. Won P. Yim and Chong Sui< Yim Respondent: El Asset Management, inc. Case Number: 07-02044 Hearina Site: Los Angeles, Califomia Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Jin O. Cha.

Award FINRA Dispute Resolution In the Matter of the Ari3ltration Between: Claimants Geraldine K. Mast as Tmstee of the The Burdette P. Mast Trust, The Geraldine K. Mast, Trust and The Burdette P. Mast Charitable Remainder Trust Kathryn E. Wansor, Successor Trustee of the Geraldine K. Mast Trust Sally Mast Brady, Successor Trustee of the Burdette P. Mast Trust Case Number: 06-04460 Respondents LPL fka Linsco Private Ledger Group vFinan