Award FINRA Dispute Resolution In the Matter of the Arbitration Behiveen: Rome G. Arnold III (Claimant) vs. Banc of America Securities, LLC (Respondent) Case Number 09-04104 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Rome G. Arnold ill ("Claimant"): Michael G. Berger, Esq., l^w Offices of Michael G. Berger, New Yoric, NY. Respondent Banc of America Securities, LLC ("Respo

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06873 James Cunningham, Jr. (Claimant) vs. LPL Financial Corporation (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Citrus Height, CA. For Respondent appeared James D. Vannah. Esq., LPL Financial Corporation, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 5. 2009 CASE SUMMARY: Ctaimant asserted the fbilowing cause of action: failure to execute. The cause of action

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCialmant Case Number: 08-01602 Stifel, Nicolaus & Co., inc. Name of the Respondent Hearing Site: Boca Raton, Florida Owen Mulvaney Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Stifel, Nicolaus & Co., inc., hereinafter refen^ to as "Claimant": Jeffrey C. Primiano, Deputy General Counsel, Stifel, Nicolaus & Company, Incorporat

Award FINRA Dtepute Resolution In the Matter of the Arbitration Between: Names of the Claimante Alvaro I. Zuniga C, Glida F. Copeik) M.. Mauriclo A. Zuniga C. and Mariela A. Zuniga C. Rocco F. Natelino T. and Solange I. Thenoux Z. Jorge Lecaros Vergara, Carmen loiz Valdes Guiilsasti and Jorge Lecaros Valdes Cynthia N Cordlngley P. and James K. Hyiand Marceto Fuchs S. and Jaime Fuchs S. Orione Porzto, Maria De 1^ Paz Errazuriz and Francesca Po

Award FINRA Dtapute Resolution In the Matter of the Arbitration Between: Names of the Claimante Case Number: 09-02355 Arnold S. Ludus Lisa M. Lucius Names erf the Resoondente Hearino Site: Raleigh. North Carolina Stateside Securities, U.C Denise McGee Buchanan Richard Norman Munray James Christopher hiirst Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arnold S. Lucius ("A. Ludus")

Award FINRA Dispute RMOlutloii In the Matter of the Arbitration Between: NameoftheCialmant Case Numtwr 09-04883 Wachovia Securities. LLC Name of the Respondent Hearing Site: Jackson. MisalsatoDi Hubert L. Runnels, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities. LLC, hereinafter refened to as "Claimanf: Stephen D. Bums. Esq.. Law Office of Danlei S. Flore. Arlington. Virginia. Res

Award FINRA Diapute Reedution In the Matter of the Ariaitration Between: NameaQfttieCtetoiante Case Number 0g-024S5 Alan J. Kimfian Peter R. Dunn Nama of the Respondent Hearing Site: Boca Raton. Ftorida Citigroup Global Martceto, Inc. Nature of the Dtopute: Associated Person vs. Member. REPRESENTATIOM OF PARTiES For Alan J. Kirman ("Kirnian") and Peter R. Dunn ("Dunn"), hereinalter collectively referred to aa "Ctoimante": DavM J. FeingoM.

StIpulafedAwerd FINRA Dtepute Reeolutlon In the Matter of the Arbttratton Between: Ctolmant Case Number 09-05226 Daphne Gieseldng, Tmstee of the Gieselcing Family Truat Dated October 3,2002 Reanondente Hearing Site: Phoenbc, Arizona The Chariee Schwab Corporation Charies Schwab & Co., Inc. Nature of the Dtoputo: Customer vs. Member and Non-IMember REPRESEMTATIQM OF PARTIES Claimant Daphne Gieseldng, aa Trustee of the Gieseldng Family Trust Da

Aewanl FINRA Dtopma Rseokmon to ttw Matter of ttie Arbltratton Between: OrimMte Caaa Number 0^13291 MelvtoDtae Evelyn DIae Hearing SMe: San FrandBCO.Callfamto The Concord EquHy Group, U-C JohnWIMamPene Nature of ttie DIaputo: Cuatomera VB. Member and Aaaodated Person REPRESEMTATIQM OF PAICTlEa Claimanta, MeMn DIaa and Evelyn DIaa, heretoafter oollecflvelyrefiarrBd to aa "Clalmantar: Scott R. Shewan, Eaq., Bom, Papa & Shewan, LLP, Oovla, C

Avrard FINRA Diapute Resolution In ths Matter of the Ari3itraHon Between: Ctehnant Case Number. 09-01431 Gerato Edward McCoy Respondent Hearing Site: Salt Lake City, Utah UBS Financial Services. Ina Nature of ttie Dispute: Customer vs. Member REPRESENTATION OF PARTIES Cialment Gerato Edward McCoy, hereinafter referred to as "CtolmanT: Jan Graham, Esq., Graham Law Offtoes, Salt Lake City, Utah Respondent, UBS Financial Services, Ina, heret