Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Morgan Stanley & Co.. Incorporated Name of the Respondent: John Anthony Marrone Case Number: 08-02353 Hearino Site: Los Angeles. Califomia Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co.. Incorporated hereinafter referred to as "Claimant": Steven W. Brennan. Esq., St. John. Wallace. Brennan

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants REBECCA K PERRY IRA; BENJAMIN E PERRY ROTH IRA; DONNA MAE JACOBSON, INDIVIDUALLY; ELMER WILKEN TRUST. DONNA MAE JACOBSON, TRUSTEE; BERNIECE M. BONEBRAKE TTEE and BERNICE (BERNIECE) M BONEBRAKE REV TRUST; MARY DONNA YEARSLEY; ARNOLD Case Number: 08-02281 GRIEPENSTROH TRUST, DEAN H Hearing Site: Omaha, Nebraska GRIEPENSTROH. TRUSTEE; D

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03878 Micliaei Scott loane, Sr., ("Claimant") vs. Scottrade, Inc., ("Respondent") ATTORNEYS: Claimant appeared Pro se, Mariposa, CA. For Respondent appeared Ryan M. Blum, Esq., In-house Counsel, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 22. 2008 CASE SUMMARY: Claimant alleged that Respondent is withholding common shares of Modern Energy. Claimant main

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eric Serfaty (Claimant) v. Citigroup Global Markets, Inc. (Resf>ondent) Case Number: 07-03151 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Eric Serfaty hereinafter referred to as ''Claimant\- John D. Singer, Esq. and Michael C. Deutsch, Esq., Singer Deutsch LLP, New York, NY. Respondent Citigroup Global

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03825 Jacob R. Froess, ("Claimant") vs. AmTrust Investment Services, Inc., ("Respondent") ATTORNEYS: For Claimant appeared Mark A. Tepper, Esq., Mark A. Tepper, P.A., Fort Lauderdale, FL. For Respondent appeared William J. Arnold, Esq., Cleveland, OH. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 20, 2008 CASE SUMMARY: Claimant alleged violation of section 517.301 of the Fl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Clainiants Case Number. 08-00336 Edward L. King, Jr. Roderick E. King Name of the Respondent Hearing Site: BImiingham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Edward L. King. Jr. ("E. King"), and Roderick E. King ("R. King"), hereinafter collectively referred to as "Claimants": Andrew S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-01888 Julio C. Postlgo & Vivian Postlgo TTEE, Julio C. Postlgo Revoc LIVTR U/A DTD 11/29/91 Vivian Postlgo & Julio C. Postlgo TTEE, Vivian Postlgo LIVTR U/A DTD 10/23/97 Julio C. Postlgo, IRA Rollover Name of the Respondent Hearino Site: Boca Raton, Florida Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Markets, Inc. vs. Case Number: 08-00465 Hearing Site: Chicago, Illinois Name of Respondent Christopher Brooks Farley NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant") was represented by D. Daxton White, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Chris

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Texakoma Financial, Inc. vs. Case Number: 08-04228 Hearing Site: Dallas, Texas Name of Respondent Trent Trubenbach NATURE OF THE DISPUTE Member vs. Associated Person RgPRESENTATIQN OF PARTIES Texakoma Financial, inc. ("Claimant") was represented by Barry F. Cannaday, Esq., Sonnenschein, Nath & Rosenthal LLP, Dallas, Texas, and Cheryl Jerome Moor

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Diana Landau, as Trustee for the Laura E.A. Forrester Hearell Revocable Trust vs. Name of Respondent Morgan Keegan & Company, Inc. Case Number: 08-01276 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Diana Landau, as Trustee for the Laura E.A. Forrester Hearell Revocable Trust ("Clai