Award FINRA Dlsputa Rasolutlon In the Matter of the Arbitration Between: Name of the Claimant Robert Drake Case Number 08-00346 Name of the Respondent Salomon Smith Bamey, inc. n/k/a Citigroup Global Markets, Inc. Hearing Site: Houston, Texas Name of Counter-Claimant Satomon Smith Bamey, inc. n/k/a Citigroup Global Markets, inc. Name of Counter-Respondent Robert Drake Nature of the Dispute: Associated Person v. Member REP

Award FINRA Dispute Resolution In the l\1atter of the Arbitration Between: Robert J. O'Brien (Claimant) vs. Riclcel & Associates, inc., Rickel Securities, inc., Ladenburg Thalmann & Co., Inc., John Sabo, Arnold Cohen, Steven Nadier, Michael Beisicy, Coleman Carven, Edward McWilliams, Joseph Fair, Kenneth Rickel, David Netkin and Deborah Krill Sachs (Respondents) Case Number: 98-00187 Hearino Site: New York, New York Nature of the Dispute: Associated Per

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dennis Mack (Claimant) vs. Cadaret, Grant & Co., inc., CP Capital Management, LLC, Matthew Smith, George McAvoy, Brenda Salmon, and Jay Salmon (Respondents) Case Number: 06-04422 Hearing Site: Albany, New York consolidated with CP Capital Management, LLC, Matthew Smith, and George McAvoy (Claimants) vs. Dennis Mack and Capital Retirement Solutions, LLC (Respondents) Case Number

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephanie Pinto, Stephanie Pinto as Trustee of the Stephen Gambino Trust, and Stephanie Pinto as Trustee of the Pinto Family Tmst (Claimants) vs. Morgan Keegan and Company, Inc. (Respondent) Case Number: 08-00521 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Stephanie Pinto ("S. Pinto"), Stephanie Pinto as Trust

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00366 Joel and Christine S. Kopel, as Trustees for the Kopel Family Foundation Charitable Remainder Trust, U/A 3/15/06 Names of the Respondents Hearing Site: Oriando, Florida Morgan Keegan & Co., inc. Regions Financial Corp. Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Joel and Christ

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00757 Peter J. Bennett Peter J. Bennett IRA Name of the Respondent Hearing Site: New Orieans, Louisiana Morgan Keegan & Company, inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Peter J. Bennett and Peter J. Bennet IRA. hereinafter collectively referred to as "Claimant": Steven B. Caruso, Esq., Maddox.

Award FINRA Dispute Resolution in the Matter of the Ari^itration Between: Name of the Claimant Case Number: 08-00039 James Timothy McCarver Name of the Respondent Hearino Site: Tampa, Florida Morgan Keegan & Company, inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For James Timothy McCarver, hereinafter referred to as Xlaimant": Jan Douglas Atlas, Esq. and Jeffrey A. Backman, Esq., Adomo & Yoss, LLP, Ft. Lauderdale, Fl

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent H&R Block Financial Advisors, Inc. n/k/a Ameriprise Advisor Services, inc. vs. Case Number: 07-01469 Hearing Site: Detroit, Michigan Name of Respondent/Counter-Claimant Christopher Theut NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES H&R Block Financial Advisors, Inc. n/k/a Ameriprise Advisor Serv

stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 06-05031 Barbara Zickler IRA Respondent Hearing Site: Albuquerque, New Mexico Broolcstreet Securities Corporation Nature of the Dispute: Customer vs. Member Claimant Barbara Ziclder IRA hereinafter refened to as "Claimant": Justin Sawyer, Esq., Little & Dranttei, P.C.. Albuquerque. New Mexico. Respondent Brcx)icstreet Securities Corporation

stipulated Award HNRA Dispute Resolution In the Matterof the Art>itration Between: Name of the Claimant Case Number 07-02096 David H. Glazov Name of the Respondents Hearing Site: \jos Angeles, Califomia Ameriprise Advisors Sen/ices, Inc. f/lc/a H & R Block Rnancial Advisors, Inc. and Rot>ert Terry Nature of the Dispute: Associated Person v. Member and Associated Person REPRESEWTATIOW OF PARTIES Claimant, David H. Glazov: D. Aaron Brock, Esq.