Award FINRA Dteputo Reeolulton InttieMatteroftheArtribatton Between: Cteimant Case Number 09-00822 Banc of America Invesbnent Services, Inc. Respondent Hsarino Stte: Los Anoetes. CaBfamte Steven Michael Pompan Steven Michael Pompan CQunter-Rasnondent Banc of America Inveatment Senrioea, Inc. Natoreof ttw Dteputo: Membervs. Associated Person Associated Person vs. Member REPRESENTATION OF PAifTIES Ctelmanl/Counter-Reapondent, Ba

Award FINRA Dteputo Readution In ttie Metter of ttie Arbitratton Between: Cteimante Case Number 08-02B9B Michael A. Johnston John J. Amold IMIchaefJ.Mittman Respondent Hearing Site: Los Angeles, Califomte Citigroup Global Martcete, Ina Counter-Claimant Citigroup Global Maricete, Ina Counter-J^BBPondente Michael A. Johnston John J. Amold Michael J. Mittman Natore of the Dteputo: Assodatod Persons vs. Member Member v

Stipulatad Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 0&-03835 Morgan Stanley Smith Barney. LLC, fbnnerty Morgan Stanley DW Inc. Name of the Respondent Hearing Site: Tampa, FL Malcolm G. Taaffe Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley Smith Barney, LLC, fbnnerty Morgan Stanley DW Inc. ("Morgan Stanley"), hereinafter ref

Award FINRA Dieputo Reeohrtion In ttie Matter of the Art)ttration BebMeen: Claknant pase Number QMOUB Rtohard Marie Sampson Respondent Hearing Site: LJOS Anoeles. Cattfomta Capmarii Securitiee Inc. Neture of the Dtapute: Aseodated Person vs. Member REPRESEtrTAHQM QF PARTIES Ctaknant, Rtohard Marie Sampson, herekiafter refened to as "Claknant": James A. Shalvoy, Esq., Manhattan Beach, CA. Respondent Capmark Securitiee inc., herelna

Award FINRA Dieputo Reeohrtion In ttie Matter of the Ariittration Bebween: Ctaknante Case Number 0&O4335 Manrin McCray Jr. and Bartuva J. McCray as Co-Tmateea of the McCray Uvkig Tniat UA DTD 07/30/82, and on behalf of ttie Manrin McCray Jr. IRA FCC ae Custodtan, under Power of Attorney Reaoondent Hearing Stte: San Franciaco, CalMbmta Wachovn Securitiee. LLC, now known as Wells Fargo Adviaors LLC Nature of the Dispute: Customers vs. Member RE

Award FINRA Dispute RMolulion In the Matter of the Arbitration BetMveen: Claimants Case Number 09-03601 Jack A. Lang Tina L. t-ang The Jack A. and Tina L. L^ang Family Tnist Respondents Hearing Site: Albuaueroue, New Mexico Merrill Lynch Life Agency, Ina, d/b/a MeniH Lynch Lffe Agency of Waahlngton, Inc. Merrill Lynch, Pierce, Fenner & Smith Incorporated MtehaelLacey Nature of the Dispute: Customers va. Member, Non-Member and Asaodate

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Jedwab and Marilyn Jedwab (Claimants) vs. Interactive Broicers, LLC (Respondent) vs. Philip and Pincus Rohr d/b/a Traders Advantege, Inc. (Third-Party Respondente) Case Number: 08-03300 Hearing Site: New Yoric. New Yoric Nature of the Dispute: Initial Claim: Customers vs. Member. Third-Party Claim: Member vs. Non-Members. REPRESENTATION OF PARTIES Claimants Richa

Award FINRA Dispute Resolution in tiie Matter of tiie Artsitration Between: Noriiy Andrea, Juan Sanchez and Luz Sanciiez, and Rutii Velasquez (Claimants) vs. Kyle Browning Rowe, George Honorato Malagon, Jr., Josepii Nidiolas Lanaro, Jr., and Emmett A. Lartcin, inc. (Respondents) Case Number: 07-03428 SITUS: NewYori(, NewYori( NATURE OF DISPUTE: Customers vs. Associated Persons and Member. REPRESENTATION OF PARTIES: Claimants Noriiy Andrea ("Andrea"),

AWARD RNRA Dispute Resolution In the Matter of the Arbitration Between: Namea of Claimants A.J. Walght and Suann Weight vs. Case Numk>er 09-02511 iHearing Site: i-louston, Texas Namea Qf Respondents Tejas Securities Group, Inc., Tejas Securities, Inc., John Gorman, and Robert Glilette NATURE OF TWEDISPIJTE Customers vs. Members and Associated Persons REPRESENTATION QP PARTIES A.J. Weight and Suann Weight ("Claimants') were rep

AWARD FINI^ Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Meredith Sweatland vs. Case Number 09-00560 Hearing Site: Columbus, Ohio Name of Respondent / Third-Partv Claimant UBS Financial Services, Inc. ss. Third-Partv Respondent Brad Sweatland NATURE OF THE DISPUTE Customer VS. Member REPRESENTATION OF PARTIEfi Meredith Sweatland ("Claimant" or "Meredith Sweatland") was represented by David P.