08-2010:	Silk v Citigroup - $1,000,000 MAT Three and MAT Five Award
08-2010:	East Tennessee Neurology, PC v Morgan Keegan - $484,357 (RMH, RSF, RMA, RHY) Award
08-2010:	Kazma v Citigroup - $1,817,000 ASTA Three and ASTA Five Award
07-2010:	Levinthal v First Republic - $2,178,153 TW Tax Advantaged Fund Award
06-2010:	Miller v Citigroup - $489,877 MAT Three Award
06-2010:	Miniaci v Morgan Keegan - $1,080,000 (MKIBX, RMA, RHY) Award
06-2010:	Christianson v Morgan Keegan - $247,557 (RHY, MKHIX) Award
05-2010:	Selan v Citigroup - $550,505 MAT Three Award
05-2010:	Abramson v Citigroup - $1,710,000 MAT V Award
04-2010:	Roe Green Foundation v Charles Schwab - $310,000 (SWYSX) Award
04-2010:	Pomeroy v Charles Schwab - $850,000 (SWYCX) Award
04-2010:	Mauney v Charles Schwab - $246,560 (SWYSX) Award
02-2010:	Cobb et al v Morgan Keegan – $1,100,000 (MKHIX, RMH, RMA, RSF, RHY) Award
02-2010:	Stein et al v Morgan Keegan – $2,500,000 (MKHIX, RMA, RSF, RHY) Award
11-2009:	Flanagan v UBS Financial Services - $200,000 Structured Products Award
11-2009:	Wade et al v Morgan Keegan – $370,000 (MKHIX, MKIBX, RMH, RSF, RHY) Award
11-2009:	Smythe et al v Morgan Keegan – $1,000,000 (MKIBX, RSF, RMA, RHY) Award
10-2009:	Rivkin v Charles Schwab - $327,245 (SWYSX) Award
09-2009:	Eliot v Charles Schwab - $96,000 (SWYSX) Award
09-2009:	Nasatir v Charles Schwab - $125,729 (SWYSX) Award
09-2009:	Crow et al v Morgan Keegan – $148,000 (MKIBX) Award
09-2009:	Chang v Charles Schwab – $88,245 YieldPlus (SWYSX) Award
09-2009:	Kelly v Charles Schwab – $103,000 YieldPlus (SWYSX) Award
08-2009:	Mayes v Charles Schwab – $116,000 YieldPlus (SWYSX) Award
08-2009:	Bach v Citigroup - $250,000 MAT V Award
07-2009:	Ross v Charles Schwab – $173,498 YieldPlus (SWYSX) Award
07-2009:	Lanfear v Global Crown Capital – $1,688,000 Award
06-2009:	United Prison Ministries v Morgan Keegan – $220,000 (MKHIX) Award
06-2009:	Klosky v Morgan Keegan – $134,000 (RMH, RSF, RMA, RHY, MKHIX, MKIBX) Award
06-2009:	Richardson v Morgan Keegan – $431,000 (MKHIX, MKIBX) Award
05-2009:	Velez v Morgan Keegan- $75,000 RMH, RHY, RSF, RMA Award
05-2009:	CASE Credit Union v Prudential - $1,028,443 Interest-Only CMO Award
05-2009:	Humphries v Morgan Keegan- $285,222 (MKIBX) Award
04-2009:	Ackerman, et al v Morgan Keegan - $81,169 (MKHIX) Award
03-2009:	Brezden et al v Associated Securities - $8.9 Million Hedge Fund Award
03-2009:	Willingham et al v Morgan Keegan – $187,215 (RHY, MKIBX) Award
03-2009:	Muhlbauer v Morgan Keegan – $125,000 (RHY, RSF, RMA) Award
02-2009:	McCarver v Morgan Keegan - $100,000 (RMH, RHY, RSF, RMA, MKHIX) Award
01-2009:	Misha v Stone & Youngberg - $250,000 Leveraged Municipal Bond Arbitrage Award
02-2008:	Coutant and Goheen v Morgan Stanley Dean Witter et al - $1.016 Million Concentration Award
12-2007:	Lackey v Casimir Capital and James Ahern - $94,500 Churning Award
11-2007:	Riley v Associated Securities - $605,000 Asset Allocation Award
10-2007:	McKinney v Merrill Lynch – $3.321 Million Concentration / Variable Prepaid Forward Award
07-2007:	Piscevich et al v Associated Securities - $450,000 Asset Allocation Award
05-2007:	Rayburn et al v HSBC Securities - $775,000 Structured Products Award
04-2007:	Schunmann v Donald Sowa – Misrepresentation $314,000 Award
02-2007:	Almquist at al v Merrill Lynch – $1.5 million Award
10-2006:	Nolan v Merrill Lynch – $1.775 Million Concentration Award
10-2006:	Cherry et al v Raymond James Annuity - $577,000 Award
05-2006:	Bouse et al v Wedbush Morgan Securities, Inc. - $3.8 million CMO Award
05-2006:	Yellen et al v Citigroup Global Markets (SSB) - $536,500 Award
05-2006:	Stockhausen v Citigroup Global Markets (SSB), Jack Grubman - $452,363 Award
02-2006:	Carruthers v Citigroup Global Markets (SSB) - $900,000 Award
10-2005:	Bauer v Raymond James Annuity - $453,210 Award
05-2005:	AG Edwards Exercise and Hold - $931,000 Award
04-2005:	Desrosiers v Robert W. Baird, Inc. – Account Mismanagement $400,000 Award
03-2005:	Salomon Smith Barney Exercise & Hold Case - $2.5 Million Award
01-2005:	Cox v Bush – $630,000 Asset Allocation Award
01-2005:	Salomon Smith Barney/Spartis/Elias Exercise & Hold Case - $448,000 Award
12-2004:	Brush et al v Merrill Lynch – $1.1 Million 72(t) Award
11-2004:	Rooney v Wachovia Securities, LLC – Fraud, Breach of Fiduciary Duty $567,000 Award
09-2004:	Berry et al v Merrill Lynch – $752,000 72(t) Award
03-2004:	Bokan v Merrill Lynch, Pierce, Fenner & Smith, Inc. – Suitability $405,000 Award
03-2004:	District Court Grants Defendants’ Motion for Summary Judgment in WAXS Class Action
02-2004:	Merrill Lynch Exercise & Hold Case - $6.4 Million Award
10-2003:	Merrill Lynch Exercise & Hold Case - $1.73 Million Award
07-2002:	Merrill Lynch Concentration Case - $7.74 Million Award
07-2002:	District Court Affirms $7.74 Million Award Against Merrill Lynch
12-2001:	Wolfe v Considine - $424,183 Award
02-2001:	Stanton v Cendant – $18.8 Million Securities Fraud Award

Schunmann v Donald Sowa – Misrepresentation $314,000 Award

Date: 2007-04-07

In April 2007 an NASD Arbitration panel in Hartford, CT ordered Donald Sowa, an RIA, to pay Mr. and Mrs. Schunmann compensatory damages of $314,000. Dr. O’Neal testified that the RIA misrepresented and completely misunderstood the risk of the Schunmann’s portfolio.


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