AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James Alan Tekavec vs. Case Number 09-01561 Hearing Site: Cleveland, Ohio Names of Respondents Franic Patrick Cunnane and Wachovia Securities, LLC NATURg QF THg DISPUTE Associated Person vs. Member and Associated Person REPRESEMTATIQM QF PARTIES James Alan Tekavec ("Claimanr) was represented by Neil D. Petkovic, Esq., Brian P. Biggins & Assoc

stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Oppenheimer & Co.. Inc. (Claimant) vs. Morton G. Gropper and Bruce A. Gropper (Respondents) Case Number: Oa-02792 Hearing Site: New Yori^, New Yoric Nature of the Dispute: Member vs. Associated Persons REPRESENTATION QF PARTIES Oppenheimer & Co. Inc., hereinafter refened to as "Claimant": Deborah Dickstein, Esq., Oppenheimer & Co., inc.. New York, NY. Morton G. Gr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Frank James Aitomaro (Claimant) vs. RBS Securities inc. (Respondent) Case Number 09-06800 Hearina Site: New Yorit, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Franic James Attomaro hereinafter referred to as "Ciaimanf appeared pro se. Respondent RBS Securities Inc.. hereinafter referred to as "Respondent": Amy Gare, Esq., RBS

Award FINFIA Dispute Resolution in the Matter of the Arbitration Between: Herbert and Beverly Goidfarb (Claimante) vs. Sanford C. Bernstein & Co.. LLC and Peter Geiwarg (Respondents) Case Number 09-02154 Hearina Site: Newaric, New Jersey Nature of the Dispute: Customers vs. Memt}er and Associated Person REPRESENTATION OF PARTIES Hert)ert Goidfarb ("H. Goidfarb") and Beverly Goidfarb ("B. Goidfarb"), hereinafter referred to as "Claimants": Brian H. Re

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Bebween: Name of Cteimant Linda Whitesell vs. Case Number 09-03911 Hearing Stte: Chicago. Illinoia Namea of Respondente Edward D. Jones & Co.. LP. and Bruce W. Biedar MATURE OF THE DISPUTE Customer vs. Member and Aaaociated Person REPRESEMTATIQM QF PARTIES Linda Whitesell ("Cteimant*) was represented by Sandor Grossman. Esq.. Law Office of Sandor Grossman, Chic

AWARD FINRA Dteputo Resolution in the Matter of the Ariaibation Between: Name of Claimant Harold Canneli vs. Case Number: 09-04872 Hearing Site: Detroit. Michigan Names of Resoondents UBS Financial Services inc., David Kuhna. and Blake Arthur Pollock MATURE QF THE DISPUTE Customer vs. Member and Associated Persons REPRESEMTATIQM QF PARTIES Haroto Canneli ("CiaimanT) appeared pro se. UBS Financial Sennces Inc. ("UBS"), David Kuhna

STIPULATED AWARD FINRA Dteputo Resolution In the Matter of the Arbttration Bebween: Names of Claimante WILLIAM F. DAVIS IRA; MICHAEL H. ANTES AND JUDY K ANTES; MICHAEL ANTES IRA; MICHAEL ANTES; JUDY K. ANTES IRA; JUDY K. ANTES; JAMES J. ARNDT; JAMES J. ARNDT ROTH IRA; JAMES J. ARNDT IRA; JERRI K. ARNDT ROTH IRA; JERRI K. ARNDT IRA; ROGER C. BATES; ROBERT J. BROWN AND MARY L. BROWN; JOHN E. CLARK; RICHARD AND MELINDA KLEINEWEBER REV LIVING

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06952 Morgan Stenley Smith Barney LLC (Claimant) vs. Steven Luna (Respondent) REPRESENTATION OF PARTIES: For Claimant: Samuel P. Mauch, Esq., Saretsky Hart Michaels & GoukI PC, Binmingham, Ml. Respondent dkl not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATE FILED: December 14, 2009. CASE SUMMARY: Claknarrt asserted the cause of actton of teilure to repay sums due. The cause of

Award FINRA Dtoputo Resolution In the Matter of the Arbibatton Between: NIameoftheClalniant Case Number 09-00230 HalMulllns Name of the Respondent Hearing Site: Boca Raton. Ftorida UBS Financtel Servtoee Inc. Nature of the Dispute: Customer vs. Member. Pubito Art>itrator Pilot ProgFam/AII Publto Panel. REPRESENTATION OF PAICTIES For Hal Muillns, hereinafter referred to as "Cteimant": Steven D. Toskes, Esq., Kteyman &Toskes, PA. Boca Raton

Award FINRA DIsputo Resolution In the Matter of the Arbitration Between: Names of ttie Clalmante Case Number 09-02201 Gary A. Kurstin Tnist Ryan G. Kurstin Revocable Trust Scott A. Kurstin/CUS Gary Kurstin Bette Kurstin Decteratton of Trust Name of ttie Respondent Hearing Site: Boca Raton. Ftorida Citigroup Gtobal Marfcete, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gary A. Kurstin Trust fG. Kurstin