AWARD FINRA DISPUTE RESOLUTION CASE: 09-05047 Brandy Rowan (Claimant) vs. Mark Steckier, Caruso McLean & Co., and Royal Alliance Associates, Inc. (Respondents) REPRESENTATION OF PARTIES; Claimant appeared pro se. Whitesboro, NY. For Respondents appeared Gregory M. Curley. Esq., Royal Alliance Associates, Inc.. New York, NY. NATURE OF DISPUTE: Customer v. Associated Person. Non-Member, and Member DATE FILED: August 28, 2009 CASE SUMMARY: Claimant

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Further Lane Securities, L.P. (Claimant) v. Evan Schwartzberg and Odeon Capital Group. LLC (Respondents) Case Number: 09-02760 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Further Lane Securities, L.P., hereinafter referred to as "Claimant": Carole R. Bernstein, Esq., The Law Office

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04891 Banc of America Investment Services, Inc. (Claimant) vs. Edward O'Connor (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diane C. Fisher. Esq., Kane & Fischer. Ltd.. Chicago. IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 19. 2009 CASE SUMMARY; Claimant asserted the following cause of action; breach of promissory

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Jeffrey Lamboy (Respondent) Case Number: 09-04297 Hearing Site: New York. New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATiON OF PARTiES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq.. and D. Daxton White, Esq., Kane & Fischer. Ltd.,

Award FINRA Dispute Resolution In the iVIatter of the Arbitration Between: Daivid M. Driesen (Claimant) vs. RBC Capital iVIari^ets Corporation and Fred Sherrill (Respondents) Case Number: 09-01655 Hearino Site: Rochester, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant David M. Driesen hereinafter referred to as "Claimant" appeared pro se. Respondents RBC Capital Markets Corporation ("RBC"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph R. Quill, individually and as grantor and beneficiary of the Dr. Joseph R. Quiil IRA (Claimants) v. Oppenheimer & Co., Inc. (Respondent) Case Number: 09-02041 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimants Joseph R. Quill ("Quiir) and Dr. Joseph R. Quill IRA ("Quill IFRA"), hereinafter collectively

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Abraham Soldaner (Claimant) vs. i\4errill Lynch, Pierce, Fenner & Smith Inc. (Respondent) Case Number: 09-01156 Hearino Site: New Yoric, New Yori^ Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Abraham Soldaner hereinafter refened to as "Claimant": Brian Kennedy, Esq.. Law Office of Brian Kennedy, New Yori< . NY. Respondent Merrill Lynch, Pierc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 09^303 Paul J. Lattare Kathleen S. Lahare Names of the Respondents Hearing Site: New Orleans, Louisiana Rot>ert H. McCuilough Edward D. Jones & Co.. L.P. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Paul J. lahare ("P. Lahare") and Kathleen 8. Lahare ("K. Lahare^, hereinafter co

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Cage Number 08-03947 Sturia Terry Canale, Living Trust Name of the Respondent Hearing Site: Tampa. Florida Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sturia Terry Car^iie, Living Trust, hereinafter referred to as "Claimant": Dale Ledbetter, Esq. and Bill Gladden, Esq., Ledbetter & Associate

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Clalmant/Counter-Respondent Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network vs. Names of Respondents/Counter-Ciaimants David C. Vorbeck and F. Stephen Dunnuck Case Number 08-04072 Hearing Sfte: Indianapolis, Indiana Member v. Associated Persons Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network ("CiaimanT or "Com