Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 09-02769 Robert 1. Simon, M.D. Names of the Respondents Hearing Site: Washington. D.C. Johnston, Lemon & Co. Inc. John Franklin Clardy, III Thomas Terrance Wallace Benjamin Yost White Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert I. Simon, M.D., hereinafter refemed to as "C

Award FINRA Dispute Resolution In the Matter of the AriE}itration Between: Name of the Claimant Case Number: 08-03530 Morgan Keegan & Co., Inc. Name of the Respondent Hearina Site: Memphis, Tennessee John Emory Wilfbng Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Co., Inc., hereinafter referred to as "Claimant": Thomas Barnett, Esq., Counsel for Morgan Keegan & Co., Inc., Memphis, Tennesse

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00854 GeraWine Kolikow TTEE f/b/o The Kolikow Trust Names of the Respondents Hearing Site: Miami, Ftorida H&R Block Financial Advisors, inc. John F. Sullivan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Geraldine Kolikow TTEE f/b/o The Kolikow Tmst, hereinafter referred to as "Cla

AWARD FINRA Dispute Resolution tn the Matter of the Arbitration Between: Name of Claimant Wells Fargo Advisors, LLC as successor to A.G. Edwards & Sons, Inc. vs. Case Number: 07-03166 Hearing Site: Indianapolis, Indiana Names of Respondents Theodore Sturges, Stephen Merrick, Donald Minton, Martin Smith, and Raymond. James & Associates, Inc. NATURE OF THE DISPUTE Member vs. Associated Persons and Member Wells Fargo Advisors, LLC as

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants / Counter-Respondents WJIbanks Securities, Inc. and Travelers Casualty and Surety Company of America. Inc.. as Subrogee of Wilbanl^ Securities, Inc. vs. Case Number: 06-04728 Hearing Site: Oklahoma City. Nebraska Name of Respondent / Counter-Claimant AXA Advisors, LLC Member and Non-Member vs. Member Wilbanks Securities. Inc. C^ilbanks") was repres

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Banc of America Investment Services, Inc. vs. Case Number: 09-00251 Hearing Site: Chicago, Illinois Name of Respondent Chad Caros NATURE OF THE DISPUTE Member vs. Associated Person Banc of America Investment Services, Inc. ("Claimant" or "BAI") was represented by Diane C. Fischer, Esq., Kane & Fischer, LTD., Chicago, Illinois. Chad Car

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: America's Choice Equities. LLC (Claimant) vs. Stephen M. Liotta (Respondent) Case Number: 09-04628 Hearing Site: New York, New York NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES Claimant America's Choice Equities, LLC, hereinafter referred to as "Claimant": Raynrond Nardo, Esq., Raymond Nardo. Attorney at Law, Mineola, NY. Respondent Stephen M. Liotta

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04196 Francis J. LaLuna (Claimant) vs. ING Investment Management Services LLC ^Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Tunkhannock. PA. For Respondent appeared Matthew Tracy. Esq.. Winget. Spadafora & Schwartzberg LLP. New York, NY. NATURE OF DISPUTE: Customer v. Member DATEFILED: July 13, 2009 CASE SUMMARY: Claimant asserted the following cause of action: unsuitability. The cau

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04048 Sharon P. Duliga (Claimant) vs. Fidelity Brokerage Services. LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Delray Beach, FL. For Respondent appeared Christine M. Hanna. Esq.. Fidelity Brokerage Services LLC. Boston, MA. NATURE OF DISPUTE: Customer v. Member DATEFILED: July2. 2009 CASE SUMMARY: Claimant asserted the following causes of action: negligence and misrepresentation.

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02917 Shirley A. Ward and Shirley A. Ward and Debra M. Hamilton Living Trust (Claimants) vs. UVEST Financial Services Group, Inc., and Jean Elzayek (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Shirley A. Ward, Cosmopoiis, WA. For Respondents appeared Sara B. Davis, Esq., LPL Financial Corporation, Boston, MA. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: May 12, 200