Award FINRA DIeptito Reeolutlon in the Matter of the Art)ttration Between: Claimant Case Number 08-00452 Paige J. Shemnan Respondent Hearing Site: San Franciaco, CalHbmia Citigroup Global Maricets, Inc. Counter-Claimant Citigroup Glok>al Maricets, Inc. Counter-Respondent Paige J. Shennan Nature of the Dispute: Associated Person vs. Member Member vs. Associated Person REPRES^HTATIPN OF PWT'gs Claimant/Counter-Respondent, Paige

Case Number: 06-05002 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant" or "BAI") was represented by David H. Smith, Esq., Kane & Fischer, Ltd.. Chicago, Illinois. Jeffrey William Myers ("Respondent" or "Myers") was represented by Patrick T. McLaughlin, Esq., Spencer, Fane, Britt & Browne, LLP, St. Louis, Missouri. CASE INFORMATION The S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Barry and Janet Lang (Claimants) vs. Kimball & Cross Investment Management Corp., and Richard R. Laine, Jr. (Respondents) Case Number: 05-00924 Hearino Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTiES Claimants Barry Lang ("B. Lang") and Janet Lang ("J. Lang"), hereinafter collectively referred to as "Claiman

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Frank Owens (Claimant) vs. Barriger & Barriger. Inc., Gaffken & Barriger Fund, LLC, G&B Partners. Inc., Barriger Capital, LLC, Bridgeville Management. LLC, Lloyd Vernon Barriger. Linda Jane Barriger, and Andrew McKean (Respondents) Case Number: 08-02537 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member, Associated Persons, and Non-Members. REPRESENTATION OF

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02807 James Peter Crowley and Nancy Corinne Crowley (Claimants) vs. Jamie J. Hills and Chase Investment Services Corporation (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Patrick Crowley. Dearborn, Ml. For Respondents appeared Sheila E. Carson. Esq., JP Morgan Chase Bank. N.A., New York, NY. NATURE OF DISPUTE: Customers v. Member and Associated Person DATEFILED:May 12. 2009 CASE SUMMARY: C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dr. Irving Raphael, Ava Raphael, Brian Raphael. Bradley Raphael, and Brooke Raphael (Claimants) vs. RBC Dain Rauscher, Boice H. Sears a/k/a Brewster Sears, Joseph O'Connor, and Heather Hunt-Ruddy (Respondents) Case Number: 08-02854 Hearing Site: Rochester, New York Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTiES Claimants Dr. Irving R

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02956 Jose Fabian Seven and Ana Maria Silva. JTWROS (Claimants) vs. UBS Financial Services, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Seth E. Lipner, Esq.. Deutsch & Lipner, Garden City, NY. For Respondent appeared Randi Perry Spallina, Esq., UBS Financial Services. Inc., Fort Lauderdale. FL. NATURE OF DISPUTE: Customers v. Member DATE FILED: May 26, 2009 CASE SUMMARY; Claimants as

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04070 Manuel Millan (Claimant) vs. Fidelity Brol< erage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. New York, NY. For Respondent appeared Melissa Hegger Shea, Esq., Fidelity Brokerage Services LLC. Boston. MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 8. 2009 CASE SUMMARY: Claimant asserted the following causes of action: failure to execute and breach of fiduci

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sidney Lieberman, IRA (Claimant) v. Merrill Lynch, Pierce, Fenner& Smith Incorporated and Lyie Scott Flaugher (Respondents) Case Number: 08-04352 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Sidney Lieberman, IRA, hereinafter referred to as "Claimant": Sara F. Lieberman. Esq., Mound Cotton W

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01033 Walter D. Blake-Trustee Names of the Respondents Hearing Site: Boca Raton, Florida J.B. Hanauer&Co. Marc R. Friedson James Jahnsen Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Walter D. Blake-Trustee, hereinafter referred to as "Claimant": Nicholas D. Thomas, Esq., Vero Be