Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of Claimants Case Number: 10-01641 Kurt Bochner, individually and on behalf of Bochner Oakwood Plaza LLC and K.B. Trust LLC Name of Respondents Hearing Site: Los Angeles, California Kenneth Ray McDonald Crown Capital Securities L.P. Nature of the Dispute: Customers vs. Associated Person and Member REPRESENTATION OF PARTIES Claimants, Kurt Bochner, individually and o

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimants Case Number: 10-01449 Lang Velka Philip Velka Respondents Hearing Site: Los Angeles, California James Michael Onr Christopher Shawn Beckett UBS Financial Services Inc. Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants. Lang Velka and Philip Velka, hereinafter referred to collectively as "Claimants": L

Award FINRA Dispute Resolution In the Matter of the Ari3itration Bebveen: Name of Claimants Case Number: 10-02024 Muri Trust Mary K. Byrnes Jakob Muller Name of Respondents Hearing Site: Phoenix, Arizona Morgan Stanley Smith Barney Robert John Gaines James Joseph Fontanilla Andrew James Siegel Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Muri Tmst, Mary K. Byrnes ("Byrnes")

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Claimant Case Number. 07-03310 Carlo A. Carrion Respondents Hearing Site: Los Angeles, California UBS Financial Services Inc. Randall K. Grossblatt Barry Bayat Joseph J. Grano, Jr. Michael A. Davis Scott M. Flanagan John W. Orr Justin D. Krane Steven Wood Judy Louie Marcel Rohner Edward M. Kerschner John Costa Mark B. Suton Stephanie Mo

AMENDED AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Ann C. Fox vs. SWS Financial Services, TD Ameritrade, Inc. and Jerry Clark Case Number: 10-03041 SITUS: Orlando, FL. NATURE OF DISPUTE: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Ann C. Fox, hereinafter referred to as "Claimant": Philip J. Snyderburn, Esq., Snyderburn, Rishoi & Swann, LLP, Maitland, FL. For Respondent SWS Financial Service

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02268 Margarita Bueno Names of the Respondents Hearing Site: Miami, Florida Global Strategic Investments Steriing Financial Group of Companies, Inc. vFinance Investments, Inc. Luis Fernando Mahecha Francesco Tirelli Gustavo Chacin Roger Esteban Castillero Nature of the Dispute: Customer vs. Member, Associated Person, and Non-Me

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Ben Pivnick, individually and as trustee of The Ben Pivnick Revocable Living Trust Respondents Wachovia Securities, LLC UBS Financial Services, Inc. The GMS Group, LLC Hennion & Walsh, Inc. Robert W. BaIrd & Co. Inc. Case Number: 09-06246 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Fo

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04344 Legends Bank Respondent Hearing Site: Nashville, Tennessee Morgan Keegan & Company Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Legends Bank, hereinafter referred to as "Claimant": John M. Edgar, Esq., Edgar Law Firm, LLC, Kansas City, Missouri. For Morgan Keegan & Company Inc., hereinafter referr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ann Marie Ozark (Claimant) vs. Joyce Hoban and Ameriprise Financial Services, Inc. (Respondents) Case Number: 10-03226 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Ann Marie Ozark, hereinafter referred to as "Claimant": Joseph L. Ozark, Jr., Pittston, PA. Respondents Joyce Hoban (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Arthur S. Manaselian (Claimant) vs. RBC Capital Markets Corporation (Respondent) Case Number: 10-03839 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Arthur S. Manaselian, hereinafter referred to as "Claimant": Mitchell Markowitz, SMRC, Inc., Brooklyn, NY. Respondent RBC Capital Markets Corporation, hereinafter r