AWARD HNRA DIeputo Reeolutlon In the Matter of the Arbitration Between: Name of Claimant Terry W.Green vs. Case Number: 08-04703 IHearing Site: IHouston, Texas Name of Respondent UBS Financial Services, inc. NATURE OF THE DISPUTE Customer vs. Member REPRESEMTATIQM QF PARTIES Terry W. Green ("Claimant") was represented by Samuel B. Edwards, Esq., Shepherd Smtth Edwards & Kantes, Houston, Texas. UBS Financial Services, inc. ('Respon

AWARD FINRA Dispute Resoiutlon In the Matter of the Arisrtratton Between: Name of Claimant Gforia Armstrong vs. Case Number 07-03554 Hearing Site: Detroit, Mkiilgan Names of ResDondente GunnAlten FInandal, Inc.. Frank J. Biuestein, Quester Capltel Corporatton, Maximum Financial Group. Inc.. and F.F., Inc. and Name of CrosfrCiaimant/Counter Cross-Resoondent GunnAlten FInandal, Inc. vs. Name of Crpsa-ResDondent/Counter Cross-Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 0&-03806 Banc of America Investment Services, Inc. Respondent Hearing SHe: Los Angeles, Califomla Richard Cameron Walker Nature of the Dispute: Member vs. Associated Person REPRESENTATION QF PARTIES Claimant, Banc of America Investment Services, Inc., hereinafter referred to as "Banc of America" or "Claimant": David H. Smith, Esq., Kane & Fischer, L

AWARD FINRA Dtepute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Steven Esposito vs. Case Number: 08-03070 Hearing Site: Chicago. Illinois Name of Resoondent/Counter-Clalmant Citigroup Global Markete. Inc. NATURE QF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Steven Esposito ("Cteimanr) was represented by Nicholas P. tevarone. Esq.. The lavarone Law Firni. P.C, Chicago

AWARD FINRA Dtepute Reaolutlon In the Matter of the Aribitration Between: Name of Claimant Robin L. Visocsicy vs. Case Number 08-00462 Hearing Site: Kansas City, Missouri Name of Respondent IHomor, Townsend & Kent, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESEMTATIQM OF PARTIES Robin L. Visocslcy ("Claimant") was represented by Joel A. Goodman, Esq., and Kalju Nekvasii, Esq., Goodman & Nekvasil, PA, Cleanwater, Florida. I

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Faye Rut>ack vs. Case Number 09-01467 Hearing Site: Omaha, Nebraska Name of Resoondent UBS Financtei Senrices, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Faye Ruback ("Claimanf) was represented by Davki A, Weinbaub, Esq., David A. Weintraub, PA, Ft. Lauderdale, Florida. UBS Financial Senrices, Inc. ("Respondenf')

STIPUIJ\TED AWARD FINRA Dispute Reeolution In the Matter of the Arbitration Between: Name of Claimant Lauren J. Steuffer vs. Case Number 09-03343 Hearing Site: Kansas City. Missouri Name of Respondent Legend Equities Corporation NATURE OF THg DISPUTg Associated Person vs. Meml>er Imuran J. Steuffer ("Claimanr) was represented by Jeffrey S. Kruske, Esq., Law Office of Jeffrey S. Kruslce, PA, Overiand Park, Kansas. Legend Equities Corpo

Award FINRA Dtepute Reaolullon In ttie Matter of ttie Art)ltratton Between: Name of ttie Claimante gsejjumg9c0&^)0813 Jamea Searcy, Trustee of the Jamea Searcy Revocabto Truat U/A/D 12^)1/95 and ttie Jamea Searcy IRA Name of ttie Reaoondente Hegflnfl g||e: Laa Vegaa, Nevada Cttlgroup Gtobal Maricete, Ina n/k/a Morgan Stanley SmHh Barney, LLC; George Frederick Manaka; and ShirieyJeanGlireath Nature of the Diapute: Customers vs. Member

Award FiNRA Dtepute Resolutton in ttie Matter of ttie Artiittation Between: Ctolmante: Case Number 08-03255 Frank DavM Selters Jay Lssite Carpenter ResDondente: Hearing Site: Daites, Texas Stifel, Nicoteus & Co., inc. Steven H. Bright Nature of the Dispute: Customers vs. Member and Assodatad Parson REPRESENTATION OF PARTIES Cteimanto, Frank David Selters fSelters"), and Jay Leslte Carpenter ("Carpenter^, hereinafiar collecttvely refen

Award FiNRA Dtopute Resolution In the Matter of the Arbitration Between: Claimante: Case Number 09-00047 Windward Capital Management Co. S. L. Reed & Company Respondent: Hearing Site: Los Angeles, California Raymond James Financial Services, Inc. Natore of the Dispute: Member and Non-Member vs. Member REPRESENTATION OF PARTIES Claimante. Windwanj Capital Management Co. CWlndward") and S. L. Reed & Company ("Reed"), hereinafter collectivel