Award FINRA Dtepute Resolution In the Matter of the Arbrtration Between: Claimant Case Numt>er: 10-01058 Morgan Stenley Smith Barney ResDondent Megan Jean Gutterrez Nature of Dispute: Member vs. Assodated Person REPRESENTATION OF PARTIES Claimant. Morgan Stenley Smith Barney ("Morgan Stenley"), hereinafter referred to as "Ciaimanr: Diane C. Fischer, Esq., Kane & Fischer. Ltd., Chicago. Illinois. Respondent, Megan Jean Gutienez ("Gutienez'^, h

Award FINRA Dtepute Resolution In the Matter of the Arbltratton Between: Name of the Claimant Case Number 00^5127 Judith Poik-Sebring MamflfloftheRasDorxtente HearteoSlte: Washington, D.C. City National Securtties, Inc. Steven David Lxx^icshin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Judith Poik-Sebring, hereinafter referred to as "Claimant": Randall C. Place, Esq.. Race and Henley, A

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-07117 John M. hHorne (Claimant) vs. Morgan Stenley & Co., incorporated (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael J. Rudicell, Esq., Michael J. Rudiceli, P.A., Pensacola, FL. For Respondent appeared Timothy B. Atkins, Esq., Morgan Steniey Smith Barr^y LLC, Pensacola, FL. NATURE OF DISPUTE: Customer v. Memt>er DATE FILED: December 18, 2009 CASE SUMMARY: Claimant asserted the following

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-05951 Carol Davles (Claimant) vs. Scottrade inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Omnond Beach, FL. For Respondent appeared Andrew C. Smaii, Esq., Scottrade inc., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 13, 2009 CASE SUMMARY: Claimant alleged damages as a result of system error The cause of action relates to Direxion Daily Financial Bull 3X share

Award FiNRA Dispute Reaolutfon In ttie Matter of the AriMtration Between: Names of ttia Cteknanb Case Number 0^04006 AnneP.Canntehael DavkJ C. Strong as Trustee for the Amended and Restated Revocabte Trust fto. 1 of Donski Camitohael Name of ttie Reaoondent Hearino Site: Boca Raton, Florida MerrM Lynch, Pierce Fenner & SmHh. Inc. Nature of the DIapute: Customer vs. Member. REPRESENTATION OF PARTIES For Anne P. Camitohael ("A. Carnitoh

Award FINRA Dtopma Reaoiullon In the Mattaf of the AibKratfon Between: fiUmm Casa Number 0M1513 Mary Bale Hate, an tedMdual Mary Bale Hate, CGM IRA Guatodtan Mary Bale Hate, ACF Mwlah Fore UiORAJTMA Maiy Belto Hate, ACF Laura Patay IMRAJIMA Mary Bale Hato^ COM EducaUon Savtega Account FBO Jarad Auattn FoTB Mary Bale Hate. CGM Eduoatton Savtegs Account FBO Brianna Nteote Fore Mttry Bale Hate. CGM Educaflon Savings Account FBO Nlchotes AtaxwKtor Fo

Award FINRA Dispute Resolution In the Matter of the Art}itration Between: Name of the Claimant Case Number: 0&^293 Sandra S. Boardman Names of the Resoondente Hearing Site: Columbia, South Carolina UBS Financial Servk»s, Inc. DavkJ George Ruckno Bertin Marc Stuckart. Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Sandra S. Boardman, hereinafter referred to as "CialmanT: Fred Claric, Esq., C

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. n/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Tricia L. Landry (Respondent) Case Number: 09-01179 Hearino Site: Hartford, Connecticut Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Sen/ices. Inc. nfkia Menill Lynch, Pierce, Fenner & S

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06815 Corinne J. I^atser (Claimant) vs. Laurence James Finn and LPL Financial Corporation (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Laguna Woods, CA. For Respondent Laurence James Finn appeared l\1atthew S. Roric, Esq., Fairfield and Woods, P.C, Denver, CO. For Respondent LPL Financial Corporation appeared David Maricun, Esq.. Pacific Palisades, CA and Amanda C. Hawley, Esq., LPL Financ

AWARD FINRA DIapiilB Reaolutfon In the Matter of ttie Aristtration Between: Name of Cteimant/Counter-ResDondent Citigroup Global Maricets Inc. vs. Case Number 09-03119 Hearing Site: Houston, Texas Name of Respondenttftounter-Ciaimant Andrea D. Smtth MATURE OF THE DlSPim Member vs. Assodaled Person REI>REaEMTAT1CMi QF PARTIES Citigroup Global Mari(ets inc. ("Claimanir) was represented by Erin E. Mac Avoy, Esq.. Alonso, Andalkar& Kahn,