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

Klosky v Morgan Keegan – $134,000 (RMH, RSF, RMA, RHY, MKHIX, MKIBX) Award

Date: 2009-06-05

In June 2009, a FINRA arbitration panel in Memphis, TN ordered Morgan Keegan to pay $134,000 in damages after a hearing wherein the Claimants alleged Respondents breached contractual and fiduciary duties, violated Tennessee Blue Sky Laws and the Tennessee Consumer Protection Act and committed common law fraud and misrepresentation. The claims related to Claimants’ investments in the RMK Intermediate Bond Fund (MKIBX). Dr. O’Neal testified on behalf of the Claimant.


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