Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kathleen M. VIgiano and Maria Vigiano (Claimants) vs. Robert J. Kennedy 11^ Walnut Street Securities, Inc., and Robert J. Kennedy & Associates a/k/a Robert J. Kennedy & Associates. Inc. (Respondents) Case Number: 07-03584 Hearing Site: New York, New York Nature or the uispute: customers vs. Associaiea Kerson, iviemoer, ana won-rviemDer. REPRESENTATION OF PARTIES Claimants Kathl

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01414 Clarence G. Rinderle ('Claimant') v. Fidelity Brokerage Services, LLC and Karen Finerman ("Respondents") ATTORNEYS: Claimant appeared Pro se, Vincennes, IN. For Respondent Fidelity Brokerage Services LLC appeared In-house Counsel, Diane M. Brown, Esq., Boston, MA. For Respondent Karen Finerman appeared Barry R. Goldsmith, Esq., Gibson, Dunn & Crutcher LLP, Washington, DC.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01223 Arnold Michael Allen ("Claimant") vs. Fidelity Brokerage Services LLC ("Respondent") ATTORNEYS: Claimant appeared Pro se, Reno. NV. For Respondent appeared In-house Counsel, Erin K. Fair, Esq., Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 22, 2008 CASE SUMMARY: Claimant alleged a loss as a result of cancellation of a trade. Claimant maintained that due

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00200 Angela N. Holifield Sarah Frierson, as Trustee of the Reese M. Holifield Marital Beneficiary Trust Agreement Names of the Respondents Hearing Site: Birmingham, Alabama Merrill Lynch Pierce Fenner & Smith, Inc. Danny Cassady (Deceased) Nature of the Dispute: Non-Member vs. Member and Associated Person. REPRESENTATION OF PA

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCiainiant Case Number: 07-03302 PNC Investments, LLC Names of the Respondents Hearing Site: Wilmington. DE Victor D. Loper Lonyae Loper Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For PNC Investments. LLC ("PNC"), hereinafter refened to as "Claimant": Brian A. Cadis. Esq.. Staric & Stark. Princeton, NJ. Victor D. Loper and Lonyae L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00773 Estee Gilad Names of the Respondents Hearino Site: Boca Raton, Florida Costa Financial Securities, Inc. Gregory Grigsby Costa Andrew Grigsby Costa Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Estee Gilad, hereinafter referred to as "Claimant": Adolfo J. Anzola. Esq., Blum &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Janet M. Drantch (Claimant) vs. Ladenburg Thalmann & C. Inc.. and Michael M. Talley (Respondents) Case Number: 07-03220 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Janet Drantch hereinafter referred to as "Claimant": Eric J. Sussman, Esq.. Eric J. Sussman. Attorney at Law. Baldwin. NY.

Award FINRA Dispute Resolution In the Matter of the Ari3itratlon Between: Names of the Claimants Case Number: 08-00691 Wilbur J. Simmons and Fay M. Simmons Name of the Respondent Hearing Site: Binmlngham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Wilbur J. Simmons ("W. SimmonsT and Fay M. Simmons (T. Simmons"), hereinafter collectively referred to as "Claimants": David Neuman,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-03464 Sandra F. Johnson, individually and on behalf of the Agnes Fitzpatrick Trust. the Sandra F. Johnson Trust and, Casey Van Orman, a minor; Lisa Van Omrian, individually and on behalf of the Lisa Van Orman Trust Names of the Respondents Hearing Site: Boca Raton, Florida Cantella8iCo..lnc. Jack Chublakian Nature of the Di

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Alvin E. McQuinn and John C. Rutherford, as Trustee of the Alvin E. McQuinn Flite Trust vs. Case Number: 07-03105 Hearing Site: Minneapolis, Minnesota Name of Respondent Wachovia Securities, LLC Customers vs. Member Alvin E. McQuinn and John C. Rutherford, as Tnjstee of the Alvin E. McQuinn Flite Trust ("Claimants") were represented by Mari( J. Br