Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nama of the Claimant Case Number: 08-00236 Bruce Graves Nqmes of the Respondents Hearino Site: Tampa, Florida Robert Kahne A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION QF PARTIES For Bruce Graves, tiereinafter referred to as "Claimant": Steele T. Williams, Esq., Steele T. Williams, P.A., Sarasota, Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 07-02250 Wachovia Securities, LLC Name of the Respondent Hearing Site: Tampa. Rorlda John A. Kendall Nature of the Dispute: Member va. Associated Person. RgPRgggMTATinM OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant^: Daniel S. Flora, Esq., I-aw Office of Daniel S. Fiore, Arlington, Virginia. For John A. Ke

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00375 Michael 8. Muhlbauer Name of tiie Respondent Hearing Site: Memphis, Tennessee Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For MIciiael S. Muiilbauer, hereinafter referred to as "Claimanf: Naill Falls. Esq., i-alls & Veach, Nashville, Tennessee. for Morgan Keegan & Co., inc., h

Award FINRA Diapute Reeoiution In the Matter of the Arbrtration Between: Names of the Claimants Case Number: 08-00910 Philip Lee Wiilingham Melinda M. Gates Nanrte of the ResDQpdent Hearing Site: BInnlngham, Alabama Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Philip Lee WHIingham CWIIHngham") and Melinda H. Oates ("Dates'), hereinafter collectively referred to as "Claimants': Marie

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-06249 Kathy Turner, individually, and as the Administrator of the Estate of Olivia Frase Names of the Respondents Hearing Srte: Charlotte, North Carolina J. W. Cole Financial, Inc. R.J.Wood John Richard Carlson John D. Turner Jonathan Roberts Financial Group, Inc. Nature of the Dispute: Customer vs. Member and Associated Person

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00664 Uzo O. Chlma Name of the Respondent Hearing Site: Baltimore, Maryland SunTrust Investment Services. Inc. Nature of the Dispute: Associated Person vs. Member. For Uzo O. Chima, hereinafter referred to as "Claimant": Janet K. OeCosta, Esq., Law Offices of Janet K. DeCosta, Washington, DC. For SunTrust Investment Services,

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lawson Software Americas, Inc. vs. Names of Respondents Lehman Brothers. Inc. and Dana Marie Hanley Case Number: 08-01724 Hearing Site: Minneapolis, Minnesota Customer vs. Member and Associated Person Lawson Software Americas, Inc. ("Claimant") was represented by Michael S. Kim, Esq., Kobre & Kim, LLP, New Yoric, New Yoric until a Notice

Award FINRA DIapute Resolution In the Matter of the Art)itratk)n Between: Claimant Case Number. 08-01092 John Robert Saklutte Respondent Hearing Site: Phoenbc, Arizona Questar Capital Corporation Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant John Robert Saldutte hereinafter referrsd to as "Claimant": Davkl G. Bray Esq., Mariscal Weeks Mclntyre & Friedlander, Phoenbc. Arizona. Respondent Questar Capita

Award RNRA Diaputo Resolution In the Matter of the Ari3itration Between: Name of the Claimant Aimee Mason-Hobbins Case Number: 07-03412 Name of the Respondents SunAmerica Securities, Inc. n/k/a AIG Financial Advisors, Inc. and Derek Roy Kent Hearing Site: Denver, Colorado Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Aimee Mason-iHobblns, hereinafter referred to as "Claimanf: Jam

Stipulated Award RNRA DIapute Raaolutlon In the Matter of the Art)Hration Between: Claimant Case Number 07-03594 Euro Pacific Capttai, Inc. Respondent Hearino Site: Los Angeles, Callfomia Kimberly Pine Hardaker Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Euro Pacific Capitol, inc.: John D. Pemick, Esq., Bingham McCutchen, LLP, San Francisco, Callfomia Respondent, Kimberiy Pine IHardaker Byron D. Gro