Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Eddie O. Creasy, Individually and as Trustee of the Eddie and Virginia Creasy Trust U/A DTD 05/05/2008 and on behalf of the Eddie O. Creasy IRA; Virginia S. Creasy Individually and as Trustee of the Eddie and Virginia Creasy Trust U/A DTD 05/05/2008 and on behalf of the Virginia Creasy IRA Names of the Respondents Merrill Lynch, Pierce, Fenner

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06390 Citigroup Global Markets, Inc. Name of the Respondent Hearing Site: Tampa, FL Kenneth T. Williamson, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. ("Citigroup"), hereinafter referred to as "Claimant": Ross Carmel, Esq., Alonso, Andalkar & Kahn, P.C, New York

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02722 Scott Shenwood Names of the Respondents Hearing Site: Miami, Florida Investacorp, Inc. Ladenburg Thalmann Financial Services, Inc. Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES For Scott Sherwood, hereinafter referred to as "Claimant": Jerome A. Pivnik, Esq., Pivnik & Nitsche,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02864 Gordon W. Leech and Robbie L. Leech, Joint Owners (Claimants) vs. Darin James Pierce and Commonwealth Financial Network (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared J. Michael Jordan, Esq., Nexsen Pruet LLC, Hilton Head, SC. For Respondents appeared Joe Tully, Esq., Commonwealth Financial Network, Waltham, MA. NATURE OF DISPUTE: Customers v. Associated Person and Member DATE FILED: June

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00926 Alice E. Barnes (Claimant) vs. John Mills Bangit, Laura Anne Tedball, and William Edward Knoble (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Anita S. Ferrara, Barhamsville, VA. For Respondents appeared Jeremy S. Hyndman, Esq., Locke, Lord, Bissell & Liddell LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Associated Persons DATE FILED: March 1, 2010 CASE SUMMARY: Claimant asserted th

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Barbara Hunt (Claimant) vs. NPA Financial Services, Inc., and Fred Karagosian (Respondents) Case Number: 09-06911 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Barbara Hunt hereinafter referred to as "Claimant": Elizabeth Goldman, Esq., Benjamin N. Cardozo School of Law, Securities Arbitratio

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Myrna Axelrod (Claimant) vs. UBS Financial Services Inc. and Jack E. Kolker (Respondents) Case Number: 09-04304 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Myrna Axelrod hereinafter referred to as "Claimant": Elizabeth Genn, Esq., Jenner & Block, New York, NY. Previously represented by Stua

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kenneth Robert Epstein (Claimant) vs. Janney Montgomery Scott LLC (Respondent) Case Number: 09-01400 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Kenneth Robert Epstein ("Claimant") appeared pro se. Respondent Janney Montgomery Scott LLC ("Respondent"): Paula D. Shaffner, Esq., Stradley Ronon Stevens & Y

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Brian McCafferty (Claimant) vs. A.G. Edwards & Sons, Inc. (Respondent) Case Number: 07-02357 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Brian McCafferty hereinafter referred to as "Claimant": George L. Mahr, 111, Esq., Mahr& Mahr, LLC, Madison, NJ. Respondent A.G. Edwards & Sons, Inc., hereinafter refe

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01865 Royetta R. Birkhimer (Claimant) vs. La Salle St. Securities, LLC and Wally Loving Meyers (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, El Sobrante, CA. For Respondent La Salle St. Securities, LLC appeared Ronald W. Noya, Esq., San Diego, CA and David A. Genelly, Esq., Vanasco Genelly & Miller, Chicago, IL. Respondent Waiiy L. Myers appeared pro se, Pleasant Hill, CA. NATURE OF DISPUTE