AWARD FINI%A Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Barbara Irsch vs. Names of Respondents WMA Securities, Inc., United Securities Alliance. Inc.. Woodbury Financial Services. Inc., and Worid Group Securities, Inc. Case Number: 06-03232 Hearing Site: Milwaukee, Wisconsin THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Barbara Irsch ("Claimant") was represented by David P.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gerald B. Sklare vs. Names of Respondents Morgan Keegan & Company. Inc. and Robert S. Elliott Case Number: 08-01242 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Gerald B. Sklare ("Claimant") was represented by Steven M. McCauley. Esq. and Charies C. Mihalek.

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stifel Nicholas & Company. Inc. vs. Name of Respondent Thomas M. Polston Case Number: 08-00463 Hearing Site: Louisville, Kentucky •HE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Stifel Nicholas & Company, Inc. ("Claimanr) was represented by Christie A. Moore, Esq., Greenbaum Doll & McDonald, PLLG. Louisville, Ke

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Shari Ackerman James E. Majerik Mary Anne Majerik Ferrell Bush Name of the Respondent Morgan Keegan & Company. Inc. Case Number: 08-01188 Hearing Site: Birmingham, Alat)ama Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Shari Ackerman ("Ackerman"). James E Majerik ("J. Majerik"). Mary Anne Majerik ("M. Ma

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01842 Ameriprise Financial Services, Inc. Name of the Respondent Hearino Site: Dallas, Texa; Juliet Ann Kiwanuka Name of Counter-Claimant Juliet Ann Kiwanuka Name of Counter-Respondent Ameriprise Financial Services, Inc. Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution in tiie Matter of the Arisitration Between: Claimants Case Number: 08-00738 Lawrence Donald Casey Lawrence DonaM Casey, IRA NoelA.Vitug,Jr. NoelA.Vitug,Jr.. 11^ Rose Vitug Bruno Schmidt and Carol Anne Schmidt individually and as JTWROS Respondents Hearing Site: San Diego, California John F. Winnick i.C.R. Financial Center, Inc. Adolf F.Kohn Charies J. Helfrich, Jr. Irene l^aria Ceroid Angele

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-02116 Edward J. Schiavi Respondent Hearing Site: Albuquerque, New Mexico Merrill Lynch, Pierce Fenner & Smith Incorporated Nature of Uie Dispute: Associated Person v. Memk)er REPRESENTATION OF PARTIES Claimant Edward J. Schiavi hereinafter referred to as "Claimant": Clinton W. Marrs, Esq., Vogel Campbell & Blueher, P.C, Albuquerque. New Mexico.

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Wachovia Securities, LLC Respondent Bryant S. Hayward Counter-Claimant Bryant S. Hayward Counter-Respondent Wachovia Securities, LLC Third-Party Claimant Bryant S. Hayward Thlrd-Partv Respondents Robert A. Corona Richard G. Holm Case Number: 08-00169 Hearino Site: Denver, Colorado Nature of the Dispute: Member v. Associated Person

Award FINRA Dispute Resolution In the Matter of the Ari3itratJon Between: Claimant Case Number: 08-01230 Morgan Stanley & Co., Incorporated Respondent Hearing Site: Las Vegas. Nevada Martin R. Gerek Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant. Morgan Stanley & Co. Incorporated hereinafter referred to as "Claimant": Diane C. Fischer, Esq.. Kane & Fischer, Chicago. Illinois. Respondent Martin R. Gerek,

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Frederick Rubin, as Trustee of the Frederick Rubin Revocable Trust, and Betsy Rubin, individually Names of the Respondents UBS Financial Services Inc. and Steve Wagner Case Number: 08-02599 Hearino Site: Boca Raton. Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Freder