AWARD FINRA Dispute Reeolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number 09-01452 Hearing Site: Dallas, Texas Name of Respondent Jeremy Blaine Strauss MATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant* or'Wachovia") was represented by Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Jeremy Blaine S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kevin Dimssa (Claimant) vs. Sterne Agee & Leach, Inc. (Respondent) Case Number 09-00176 Hearino Site: Newaric, New Jersey Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Kevin Dimssa hereinafter refened to as "Claimant": Jonathan S. Sack, Esq., Sack & Sack, New York, NY. Respondent Sterne Agee & Leach, Inc., hereinafter referred to as "Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nicolas Billeaud (Claimant) vs. HSBC Securities (USA) Inc., HSBC Bank USA, N.A.. and HSBC North America {Holdings, Inc. (Respondents) Case Number: 09-04408 Hearino Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Memt)ers REPRESENTATION OF PARTIES Claimant Nicolas Billeaud hereinafter refened to as "Claimant": Martin F. Gusy, Esq., Gusy Van de

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05964 Matthew Bryan Andrews (Claimant) vs. Mark Thomas Rizzieri (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Charlotte, NC. For Respondent appeared Andrew Upton, Esq., Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: October 15, 2009 CASE SUMMARY: Claimant asserted the following causes of action: unauthorized purchase and selloff.

Award FINRA Dispute Reeolution In the Matter of the Arbitration Between: Raymond James & Associates. Inc. (Claimant) vs. Bruce Katz (Respondent) Case Number: 09-04566 Hearing Site: New Yori< , New Yori« Nature of the Dispute: Member vs. Associated Pereon. REPRESENTATION OF PARTIES Claimant Raymond James & Associates, Inc.. hereinafter refened to as "Claimant": Kelli Bullington, Esq., Raymond James & Associates, Inc., St. Petereburg. FL. Respondent Bru

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: AXA Advisors, LLC (Claimant) v. Thomas Boan (Respondent) Case Numbed 10-00588 Hearing Site: New Yoric, New Yorlc Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant AXA Advisors, LLC, hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, L.L.C., Cranfbrd, NJ. Respondent Thomas Boan hereinafter refened to as "Respon

Award FINRA Dispute Reaoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09^3062 Michael S. Dixon, Trustee of the James A. Dbcon Testamentary Trust iSlames of the Resoondente Hearing Site: Baltimore, Maryland UBS Finandai Services, Inc. Keith James Stelner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARHES Michael S. Dbcon. Taistee of the James A. Dbcon Testementary

AWARD FINRA DIsputa Resolution In the Matter of the Arbttration Between: Name of Claimant Empire Financial Group, Inc. vs. Case Number: 09-00266 Hearing Site: Dallas, Texas Names of Respondents Penson Financial Services, Inc., Phil Pendergraft, Dan Son, and Roger Engemoen MATURE OF THE DISPUTE Member v. Member and Associated Persons REPRESEWTATIQM OF PARTIES Empire Financial Group. Inc. f'Claimant" or "Empire") was represented by

Award FINRA Dtoputo Resolution in the Matter of the Arisibation Bebween: Cteimant Caae Number 09-04022 Salma S. Keith Reaoondente Hearing SHe: San Frandsco, CalHbmte Wdlte Faigo inveabnente, LLC Clay Harriaon Evana Nature of the DIapute: Customer vs. Member and Aaaociatad Person REPRESENTATION OF PARTIES Claimant, Salma S. KeHh rKetth"), herelnaffter refened to aa "Claimant": Salma S. Ketth, Rosevilte. CalHbmte. Respondente, Wells Far

Awrard HNRA Dtoputo Resolution in the Matter of the Arbibation Bebiveen: Claimant Caae Number 08-03679 Banc of Amertoa inveabnent Senricea, inc. Reaoondent Hearing Site: i-oa Angeiea, Caiifomte Edward G. Harria Natore of the DIapute: Member va-Aaaodated Person REPRESEMTAT1QN OF PARHES Claimant, Banc of America inveabnent Sen/icea, ina, hereinafter refened to aa 'Claimant": RonaM P. Kane, Eaq., Kane & Fischer, Ltd., Chicago, iiiinote, and Mari