Award FINRA Dtoputo Raeohitlon in ttw Matter of the Arbitratton Between: Clatoient Case Number 09-04146 Banc of America investment Services, Inc. Raaaondent Hearino Site: San Francisco, Caiifomte Gordon Patrick Lewto Nature of the Dispute: Membervs. Assodated Peraon REPRESENTATION OF PARTIES Clalment, Banc of America Investment Senrices, Inc., hereinaner relened to es "Ctelmant": Gregory B. Simon, Esq.. Kane & Fischer, Lto, Chicago, llllnoto.

onpuHnaa iwara flNRA Dtepme Reeolutton In ttw Matterof ttw Art)ttratfon Betvveen: Mama off ttw Clalmante Caaa IMumber: 08-01531 MettftoE-McOonaM VtocentE.Scote NameotttwRaBDondant Hearing Site: San Francteco. Caltemte TDAmerttrade,lnc. NetoreoffttwDlepute: Aasodatad Persons vs. Memtwr REPRESEMTATIOM OF PARTiES Clalmanta, MsMn E. McDonald and Vincent E. Scote, hereinaner ooltocttvely referred to aa 'Claimants': Katfwrine Uvingslon, Eeq., W

Award FINRA Dteputo Reeoiutlon in the Matter of the Arbitration Between: Claimant Case Number: 08-05033 Many E. Licursi Respondents Hearino Site: San Francisco, Cailfdmia Pension Planners Securities, Inc. Tax Defened Senrices Group (TDS Corp.) IRA Center - TDS Regional Office, San Jose LoyD.HoH Alonzo B. Widcers Jon M. Neubert Nature of the Dispute: Assodated Person vs. Member, Associated Persons, and Non-Members REPRESENTATIO

AWARD FINRA Dtoputo Reaolutlon In the Matter of the Arbitration Between: Name of Claimant Sue Ann Lane vs. Case Number 09-02570 Hearing Site: Houston, Texas Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. NATURE QF THE PI8PUTE Customer vs. Member RgPRgSENTATIQM OF PARTIFS Sue Ann Lane ("Claimant") appeared pro se until on or about November 23,2009. After that date, she was represented by Milton H. Fried, Jr., Esq., The

AWARD FINRA Dispute Resolution In the Matter of the Ari3itratlon Between: Name of Claimant Luby's Restaurants Limited Partnership vs. Case Number 08-04007 IHearing Site: Houston. Texas Name of Respondent Credit Suisse Securities (USA), LLC MATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Luby's Restaurants Limited Partnership ("Claimant") was represented by Peter Tropoli, Esq., Houston, Texas until on.or about April

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06663 Newbridge Securities Corporation (Claimant) vs. Andres Tobon (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWkie Asset Recovery Group. Inc., Hazlet. NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 23, 2009 CASE SUMMARY; Claimant asserted the following cause of action: breach of promissor

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06892 Raymond James Financial Services. Inc. (Claimant) vs. Robert i\1ayfield (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Derek C. Anderson, Esq., Michaels, Ward & Rabinovltz, LLP, Boulder, CO. For Respondent appeared Jeffrey S. Kob. Esq., Jeffrey S. Kob, APO, Coronado, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 10, 2009 CASE SUMMARY; Claimant asserted the followin

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06541 Jeff Jemlgan and Jill Jernigan (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Pat Huddleston. 11, Esq., The Huddleston l-aw Finn. Kennesaw. GA. For Respondent appeared Sean B. Meehan. Esq., Charies Schwab & Co., Inc.. San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: November 17. 2009 CASE SUMMARY: Claimants asserted the fo

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05763 Preston A. Reed 2000 Trust U/A DTD 02/25/2000 (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Preston A. Reed, South Hampton, NH. For Respondent appeared Eric J. Glassman, Esq., Mennemeier, Glassman & Stroud LLP, Sacramento, CA. NATURE OF DISPUTE: Customer v. iVIember DATE FILED: October 7, 2009 CASE SUMMARY: Claimant asserted the

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05556 John Garnet Sellers (Claimant) vs. Empire Financial Group, Inc., Jesup & Lamont Securities Corporation, Donald Anthony Wojnowslci, Jr.. Steven Michael Rabinovici, Empire investment Advisore, inc.. and Jesup & Lamont, Inc. (Respondents) vs. Penson Financial Services, inc. (Third-Party Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Valrico. FL. For Respondents Empire Financial Group, Inc., Jes