Award FINRA Dispute Resolution In the Matter of the Arbttration Between: Name of the Claimant Case Number: 09-03773 Dora Mcllhenny Trust U/A 6/6/90 Name of the Respondent Hearing Site: Tucson, Arizona Wachovia Securities, LLC n/k/a Wells Fargo Advisore, LLC Nature of the Dispute: Customer vs. Memk)er REPRESENTATION OF PARTIES Claimant, Dora Mcllhenny Trust U/A 6/6/90, hereinafter refenred to as "Claimanf: Kevin T. Hoffman, Esq., Law Offices o

Award RNRA DIepute Resolution In ttie Matter of ttie AriE)ttration Between: Name of ttie Claimant CflW NtiffllWr; 09-00894 Banc of America Investment Sen/lces Name of ttie Respondent Hearing Site: Boca Raton, Rorida Neil L. Brown Nature of tiie Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Sen^lces, hereinafter refenred to as 'CiaimanT: Gregory Simon, Esq., Kane & Fischer, Ltd., Chicago, Illin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 08-01314 Estate of William Coieman Bryan Lida H. Bryan Name of the Resoondent Hearing SHe: Nashville. Tennessee Morgan Keegan and Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For the Estate of Wiiiiam Coleman Bryan ('Coleman") and Lida H. Bryan ("Bryan"), hereinafter collectively referred to as

Award FINRA Dispute Resolution in the Matter of the Art^itration Between: Oppenheimer & Co., Inc. (Claimant) vs. i\^ichael C. Napoliteno (Respondent) Case Number: 09-02129 Hearino Site: New Yoric, New Yorit Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., inc., hereinafter referred to as "Claimanf: Deborah Dicicstein, Esq., Oppenheimer & Co., inc., New Yoric, NY. Respondent Michael C. Napoliten

Award FINRA Diapute Resolution in the Matter of the Arbitration Between: Robert Stephen Wilioughby (Ciaimant) vs. Weatheriy Securities Corp. (Respondent) Case Number 09-03378 Hearing Site: New Yoric, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Robert Stephen Wilioughby hereinafter refened to as "Claimant": Jeffrey Shepro, Esq., Jeffrey Shepro P.C, New Yoric, NY. Respondent did not enter an appearan

AWARD FiNRA DiSPUTE RESOLUTION CASE: 09-04981 Ronald Kroptavich, Carol Kroptavich, and IRA FBO Ronald Kroptavich (Claimants) vs. SagePoint Financial, inc., and Ronald Fair Pauii (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared John J. McGovem, Jr., Esq., Scranton, PA. Respondent SagePoint Financial, inc., did not appear in this matter. For Respondent Ronald Fair Pauii appeared Dianna 0. McCarthy, Esq., Winget, Spadafora & Schwartzberg, LLP

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-05203 Timothy Maitas (Claimant) vs. Richard Netter and Senate Securities (Respondents) REPRESENTATION OF PARTIES: ' Claimant appeared pro se. New l-lampton, NY. For Respondents appeared Richard Netter, Senate Securities, Kingston, NY. NATURE OF DISPUTE: Customer v. Associated Person and Memfc>er DATE FILED: September 3. 2009 CASE SUMMARY: Claimant asserted the following cause of action: delay in execution of

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05973 David G. Steakley and Paula B. Steal< ley (Claimants) vs. UBS Financial Sen/Ices Inc. (Respondent) REPRESENTATION OF PARTIES: Ciaimante appeared pro se, IHouston, TX. For Respondent appeared Robert Matthews. Esq., UBS Financial Services inc., Weehawken, NJ. NATURE OF DISPUTE: Customers v. Member DATE FILED: October 13, 2009 CASE SUMMARY: Claimants asserted the tollowing causes of action: unjust enrichm

Award FINRA DIsputo Resolution In the Matter of tiie Arialtratlon Between: Names of the Ciaimante David R. Baltey, Jr. Julie Bailey David R. Baitey, III Milton Broadhead Hert)ert Bruister Nelson Hali Linda Hall Timothy D. Hogan David Ray B.J. Ray William L. Ray Robert Ward Candice Ward B&FWiiklnsonLP Charies Wilkinson MllllcentWilidnson Names of the Resoondente MF Global, Inc. Tradewlnd Investmente, LLC

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-02569 Chicago Investment Group, LLC Name of the Respondent Hearing Site: Boca Raton, FL Joseph Galbo Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Chicago Investment Group, LLC ("CiG'^, hereinafter r efisrred to as "Ciaimanf: Howard J. Rosenburg, Esq., CIG, Chicago, IL. For Joseph Galbo ("Galbo"