Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of tiie Claimant Case Number: 09-05025 Rite Brown l^ames of the Resoondente Hearing Site: Orlando, Ftorida Banc of America Investment Services, Inc., a Florida corporation, and Scott Krause, an individual Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Rite Brown, hereinafter referred to as "Claimanf: David H. Simm

r ' Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-02018 Donna Appleby Names of the Respondente Hearino Site: Boca Raton, Ftorida Wachovia Securities, Inc. Bruce-A^Pomerantz- Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donna Appleby, hereinafter refened to as "Claimant": Bradford M. Gucciardo. Esq. and Chartes S

Award FINRA Dispute Resolution In the Matter of the Arisitratlon Between: Names of the Ciaimante Case Number. 08-02926 Aaran Everett Waldman Patricia Waldman Ward Waldman Real Estete Services. LLC Name of the Respondent Hearing Site: Boca Raton. Florida Salomon Smith Bamey inc. N/K/A Citigroup Global Maricets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Aaron Everett Waldman, Patricia Waldman and Ward Wa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05666 Morgan Stanley Smith Bamey LLC (fomieriy Morgan Stenley & Co., inc.) Name of the Respondent Hearing Site: Oriando, Florida David W. Moody Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stenley Smith Bamey LLC (formeriy Morgan Stenley & Co., Inc.). hereinafter referred to as "Claiman

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Ciaimante Case Number 09-04240 Robert Wayne Lewis TTEE, Robert Wayne Lewis Revocable Trust Robert Wayne Lewis iRA Rollover Rok)ert Wayne Lewis IRA Robert Wayno Lewis-ROTH IRA- B Lewis & R Lewis TTEE, Bart>ara Murphy Lewis Trust John Benjamin Lewis & Robert Wayne Lewis JT TEN Ridgecrsst Groves, Inc. Lewis & Associates, Inc. Names of the Resoondente

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Viola McNeill (Clainfiant) vs. Fidelity Brokerage Services LLC, William John Laws, and Aaron Michael Francis (Respondents) Case Number 09-03526 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Memt)er and Associated Persons. REPRESENTATION OF PARTIES Claimant Viola McNeill, hereinafter referred to as "Ciaimanf: Neil A. Sussman, Esq., Sussman & Frankel, LLP, N

AWARD FINRA Dteputo Resolution In the Matter of the Arbitration Between: Name of Claimant Steve Mann as Personal Representative of the Estate of John F. Mann vs. Case Number 09-04066 Hearing Site: Milwaukee, Wisconsin Name of Respondent Citigroup Global Maricete Inc. MATURE OF THgniSPUTg Customer vs. Member REPRESEMTATIQN OP PARTIES Steve Mann as Personal Representative of the Estate of John F. Mann fClalmanr) was represented by C

AWARD FINRA Dlsputa Resolution In the Matter of the Arbitration Between: Name of Claimant Gary R. Miles vs. Case Number 09-05216 Hearing Site: Pittsburgh, Pennsyivania Names of Respondents U.S. Brokerage, Inc., Gregory A. Randall, Jac G. Tomaseilo, and Southwest Securities. Inc. NATURE OF THE DISPUTE Associated Person vs. Members and Associated Persons REPRESENTATION OF PARTIES Gary R. Miles f Claimant") was represenlBd by V\feiyn

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00456 Roger W. Gratwick (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates LLC, Atlanta, GA. For Respondent appeared John-David H. Thomas, Esq., Bass, Berry & Sims, PLC, Nashville, TN. i^TURE OF DISPUTE: Customer v. iViember DATE FILED: January 26, 2010 CASE SUMMARY: Claimant asserted the fol

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01098 Eugene Krzywicki (Claimant) vs. UBS Financial Services Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Hoffman Estates, IL. For Respondent appeared Randi Perry Spallina, Esq., Bressler, Amery & Ross, Miramar, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 3, 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to follow instructions to liquida