AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Amerjprise Financial Sen/ices vs. Name of Respondent Richard Porter McCrea Case Number: 08-00951 Hearing Site: Cleveland, Ohio Member vs. Associated Person REPRESl Ameriprise Financial Services ("Claimant") was represented by Will Stute, Esq.. Faegre & Benson, LLP, Minneapolis, Minnesota. Richard Porter McCrea ("Respondent") appeared pro se.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03938 Estate of Ellen Tangeman Murphy Names of the Respondents Hearing Site: Tampa. Florida First Montauk Securities Corp. Jan E. IHaynes Dunham & Associates Investment Counsel, Inc. Jeffrey A. Dunham Robert Mercado. Jr. Arthur J. Lewis Nature of the Dispute: Custon^r vs. Member, Non-member and Associated Person. REPRESENTATI

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00811 Mary Jo Bickerstaff Name of the Respondent Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mary Jo Bickerstaff, hereinafter referred to as "Claimant": Andrew Stoltmann. Esq., Stoitmann Law Offices, P.C, Chicago, Illinois. For Morgan Keegan &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-03093 Charies Mllfbrd Satterfleld Respondents Hearino Site: Houston, Texas Bernard Elmer Young Pamela Jean Beckstrom Daniel Thomas Bogar Stanford Group Company Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant. Charies Mllford Satterfield, hereinafter refen^ to as "Claimant": Charies

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number 07-02717 Ronald W. May Kathryn R. Chapman Name of the Respondents: Hearing Site: San Diego, Callfbmla Linsco/Private Ledger Corp. Michael H. McClellan Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Ronald W. May and Kathryn R. Chapman hereinafter collectively refen^d to as "Cla

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name pf the Claimants Case Number 07-01180 Dennis Beck and Shiriey Beck; Sheila A. Bennen, Individually and as Trustee of the Sheila A. Bennen Revocable Trust U/A DTD May 10, 1982; Robert and Jan Camps; Ron Debiack; Gerald Duncan and Kimberly Duncan, Individually and as JTWROS; Eleanor Evans and Mark Evans, Individually and as JTWROS; Roque Gonzalez; Patrick J. Grave

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: CIBC Worid Markets Corporation (Claimant) vs. Michael Sassano (Respondent) Case Number: 05-02827 Hearing Site: New Yorit, New Yorlt Nature of the Dispute: Member vs. Associated Pereon. REPRESENTATION OF PARTIES Claimant CIBC Worid Martlets Corporation hereinafter referred to as "Claimant": Matthew L. Mustokoff. Esq., Weil. Gotshal & Manges LLP, New York, NY. Previously represe

Award FINRA Disputo Resolution In the Matter of the Arisitration Between: Name of the Claimant Helen Alport Names of the Respondents Menill Lynch Pierce Fenner & Smith, Inc. Max G. Manack Byron Meads John Wyllys Doria Sabia-Florence Jeffrey S. Ransdell Case_Number 07-01049 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For Helen Alport, herein

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01429 Daniel W.Camevale Names of the Respondents Hearing Site: Oriando, FL Dr. Robert P. Laurence & Patricia A. Laurence Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Daniel W. Camevale. hereinafter refen-ed to as "Claimant": Peter J. Aldrich, Peter J. Aldrich, P.A., Palm Beach Gardens, F

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Aura Financial Sen^ices, Inc. Names of the Respondents NSM Securities, Inc. Niyukt Bhasin Nitin Bahinvani Rohit Khemka Shondeep "Sonny" Balchandani Kamlesh Lalwani Harsh Jayaswal l\^arvin Irving Burstein Ivan Dario Angulo Brandon R. Sciotti Names of the Third-Party Respondents Timothy Gautney Eric Blum Sidh