Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nsme of the Claimant Case Number 09-01591 James E. Wortman Names of the Respondents Hearing Site: Raleigh, North Carolina Uvest Financial Sendees Group, Inc. Sovereign Advisers, LLC Nature of the Dispute: Customer vs. Member arKi Non-Member. REPRESENTATION OF PARTIES For James E. Wortman, hereinafter referred to as "Claimanf: Andrew O. WhHeman, Esq.. Hartzell & White

Award FINRA DIapule Reedution In the Matter of the Arbitratton Between: Claimant Case Number 08-00835 Banc of America Investment Sen/ices, Inc. ResDondent Hwrlnfl ?Be: Seattle. Washington Luan BerJsha And; Counter-Claimant Luan Berlsha Counter-Respondent Banc of America Investment Services. Inc. And; Thifd-Partv Claimant Luan Berisha Third-Partv Respondent Mathew Dailey Nature of the Disputes: Member vs. Associated

-A Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCiaimant: Case Number 09-00752 Harry Loclcmann Name of the Respondents: Hearino Site: San Diego, California Banc of America Investment Services, Inc. Mark Holland Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Harry Loclcmann, hereinafter referred to as "Claimant": Arthur S. Leider, Investors Arbit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: AXA Advisors, L.L.C. (Claimant) vs. John Treanor (Respondent) Case Number: 09-03280 Hearino Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant AXA Advisors, L.LC. hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, L.L.C. Cranfbrd, New Jersey. Respondent John Treanor hereinafter referred t

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04054 Lennart B. Svard (Claimant) vs. Banc of America Investment Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Califon, NJ. For Respondent appeared Kiran Somashelcara, Esq., Wolff & Samson, P.C., West Orange, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 1,2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of fiduciary responsibili

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Allegretta, Suzanne Allegretta, and the JAT Construction Co., Inc. Defined Benefit Pension Plan, Joseph and Suzanne Allegretta Trustees (Claimants) vs. Mark Carmen Casolo, McGinn, Smith & Co., Inc., and Westrocic Advisors, Inc. (Respondents) Case Number: 08-04631 Hearing Site: Albany, New Yori^ Nature of the Dispute: Customers vs. Associated Person and Members. REPRESENTATION

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ellen B. Koval (Claimant) vs. Oppenheimer & Co. Inc. (Respondent) Case Number 08-02468 Hearing Site: New Yori< , New Yori^ Nature of the Dispute: Customer vs. Member. REPRESENTATiON OF PARTIES Claimant Ellen B. Koval hereinafter referred to as "Claimant": Richard J. Babnicic, Esq., Sichenzia Ross Friedman Ference LLP, New York, NY. Respondent Oppenheimer & Co. Inc., hereinafter r

Case Number: 09-03112 Hearing Site: Cleveland, Ohio NATURg QF THE DISPUTE Member vs. Customer REPRESENTATION QF PARTIES SMH Capital, Inc. ("Claimanf) was represented by Martha F. McDugald, Esq., Ballard & LitUefield LLP, Houston, Texas. John Difini ("Respondent") was represented by Robert L Moore, Esq., Willoughby Hills, Ohio. CASE INFORMATION The Statement of Claim was filed on or about April 28,2009. The Submission Agreement of Claimant, SMH Ca

STIPULATED AWARD FINRA Dlsputo Resolution In the Matter of the Arisitration Between: Name of Claimant Joseph M. Vanek vs. Case Number: 08-04774 Hearing Site: Chicago, Illinois Names of Respondente UBS Financial Sen^ices, Inc., UBS Securities, LLC, UBS AG, and Douglas Eaton NATURE QF-mg DISPUTE Customer vs. Members, Non-Member and Associated Person REPRESENTATION QF PARTIES Joseph M. Vanek ('Clalmanf) was represented by Alberto Rod

AWARD FINRA DIeputo Resoiutlon In the Matter of the Arialtratton Between: Names of Claimante Albert Bedran, and Albert and Wendy Bedran vs. Case Number 09-01258 Hearing Site: Chicago, Illinois Name of Respondent Advanced Equities, Inc. and Name of Third-Partv Claimant Advanced Equities, Inc. vs. Name of Third-Partv Respondent Dan Alan Camphausen NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION QF PARTIES