Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. (Claimant) v. Frank J. Fava (Respondent) Case Number: 08-00043 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc. hereinafter referred to as "Claimant": David Schmidt, Esq., Lubiner & Schmidt, L.L.C., Cranford, NJ. Respondent Frank J. Fava hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06846 Jeffrey Paul McMorrow, Esq. Names of the Respondents Hearing Site: Columbia, South Carolina Banc of America Investment Services, Inc. Ryan Paul Tidwell Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Jeffrey Paul McMorrow, Esq., hereinafter referred to as "Claimant," appeared pro se.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Clainnants Case Number: 09-04354 Jane D. Nave, Individually, and as Trustee for the Jane Nave Revocable Living Trust and William M. Nave, Individually, and as Trustee for the William Nave Revocable Living Trust Name of the Respondent Hearing Site: Tampa, Florida Suntrust Investment Services, Inc. (CRD #17499) Nature of the Dispute: Customer vs. Membe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Morris Durham, Individually and as Trustee of the Durham Family Trust of Scottsdale, AZ Christopher Durham. Individually and as Trustee of the Durham Family Trust dated 10/30/96 Respondents Lawson Financial Corporation Robert Warren Lawson Glenn Alan Foerster Pamela Denise Lawson Case Number: 09-05797 Hearing Site: Phoenix, Arizona Nature of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-02014 Sean E. Greene Respondents Hearing Site: Los Angeles, California United Capital Markets, Inc. Dennis John Devaney United Capital Asset Management, LLC Nature of the Dispute: Customer vs. Member. Associated Person, and Non-Member REPRESENTATION OF PARTIES Claimant, Sean E. Greene, hereinafter refen^ed to as "Claimant": Steven D. Toskes,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Marcia L Rasmussen and Richard A. Rasmussen vs. Case Number: 09-04523 Hearing Site: Omaha, Nebrasica Names of Respondents Linsco/Private Ledger Corp. n/k/a LPL Financial Corporation and Daniel Paul Feitz NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Marcia L. Rasmussen ("Mrs. Rasmussen*^ and Rich

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02041 Wells Fargo Advisors, LLC (Claimant) vs. Pamela Lonzo (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Chicago, IL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 30, 2010 CASE SUMMARY.- Claimant asserted the following cause of action: breach of retention award agreement. Claim Dat

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03557 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Columbia, South Carolina Paul A. Callander Nature of the Dispute: IVIember vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant''^ Diane C. Fischer, Esq, Ronald

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00584 Oppenheimer & Co. Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Andrew J. Aragona Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Cory 8. Zadanosky, Esq., Zadanosky & Associates, P.A., Lake Worth, Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-04336 Geraldine L. Bell Respondents Hearino Site: San Francisco, Caiifomia James F. Rudwali Merrill Lynch, Pierce, Fenner, & Smith Incorporated Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant. Geraldine L. Bell, hereinafter refen^ed to as "Claimanf: Pro Se, Sonoma, Caiifomia Respondents,