AWARD FINRA DISPUTE RESOLUTION CASE: 09-05559 Mark Segreto (Claimant) vs. Marquis Financial Services, Inc., and Matthew Sexton (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared B. David Jarashow, Esq., Freehold. NJ. For Respondent Marquis Financial Services, Inc., appeared Martin P. Unger, Esq., Certilman Balin Adier & Hyman, LLP, East Meadow, NY. Respondent Matthew Sexton appeared pro se. Floral ParW, NY. NATURE OF DISPUTE: Customer v.

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Merrill Lynch, Pierce Fenner & Smith. Inc. (Claimant) vs. Azam F. Baroulchiam (Respondent) Case Number: 07-02316 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc., hereinafter referred to as "Claimant": Benedict L. Sliney, Esq., Leventhal & Sliney, LLP., Roslyn, NY. Previ

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Banc of America Investment Sen/ices, Inc. (Claimant) vs. Marie H. Pollack (Respondent) Case Number: 08-01708 Hearing Site: Newaric, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Sen/ices, Inc., hereinafter referred to as "Claimant": David H. Smith, Esq. and Gregory Simon, Esq., Kane & Fischer, Ltd.,

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Morgan Stanley Smith Barney LLC (Claimant) vs. Kirk Barrett (Respondent) Case Number 09-05062 SITUS: Boston. Massachusetts. NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES Morgan Stanley Smith Bamey LLC. hereinafter refened to as "Claimant": Alan S. Brodherson, Esq.. Law Offices of Alan S. Brodherson, New York, NY. Respondent did not enter an appearance

Award FINRA DiepulB Reeolution In the Matter of the Arbitration Between: Greg and Kathy Call, Susan Visconti, and Kelli Tuttle (Claimants) vs. Jeffrey Southard and GunnAllen Financial (Respondente) Case Number: 09-03927 Hearino Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimante Greg ("G. Call") and Kathy Call ("K. Call"). Susan Visconti CVisconti"), and Kelli Tuttle

Awaixl FINf^ DIepute Resolution in the Matter of the Arbitration Between: IHampshire Trust Ltd. and Florian Zgunea (Claimants) vs. Tradestation Securities, inc. (Respondent) Case Number: 09-00211 Hearing Site: New Yori< , New Yoric Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimante Hampshire Trust Ltd. ("Hampshire Trusf) and Florian Zgunea ("Zgunea"), hereinafter collectively referred to as "Claimants" appeared pro se.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ari Lee Bayme (Claimant) vs. Milbank Roy Securities, LLC (Respondent) Case Number 09-02547 Hearing Site: New Yorl^, New York Nature of the Dispute: Associated Person vs. Meml^er. REPRESENTATION OF PARTIES Claimant Ari Lee Bayme hereinafter referred to as "Claimanf: Barry R. Lax, Esq.. Lax & Neville. LLP, New York. NY. Respondent Milbank Roy Securities, LLC, hereinafter referred

Award FINRA Dteputo Reeoiutlon In ttie Matter of the Artittratton Between: Name of ttie Ctetoiant Case Number 094)2165 CapHol Securities Menegement, Inc. fteme of ttie Reepondent Hearino SHe: Washington, O.C. Johann Nanayaldcara Natore of the Disputo: Member vs. Assodated Person. REPRESEMTATION OF PARHES For Capttol Securitiee Management, Inc., hereinafter refened to as "Cteimanir: Janet K. DeCoste, Esq., Jsnet K. DeCoste, PA, Washington, D.C

stipulated Award FINRA DIapute Reeoiutlon In the Matter of the Arbttration Between: itoma of ttie Ctelmant Case Number 09-06435 Welte Fargo Advisors, LLC. f/k/a Wachovte Securities, LLC ftome off ttie Respondent MWIfInq SH^: Tampa, Florida BretTadcett Nature of the Dispute: Member vs. Associated Person. RgPRgSEMTATiOM OF PARTIES For Welte Fargo Advisors, LLC, f/k/a Wachovte Securities. LLC, hereinafter referred to es 'X^teimenf: Gregory S

Stipuletod Award FINRA Dlaputo Reeoiutlon In ttw Matter of the Art)itration Between: Names of ttw Ctelmante Case Number 09-00431 Comelto Popesoo Maria Orcoyen de Popesco Liberty Trading, S.A. Names off the Jtosoondente Hearing SHe: Boca Raton, Ftorida Barclays Capitol, Inc., successor In Intersst to Lehman Brothers, Inc. Jose Rncheltub Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATKaN OF PARTIES For