Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Franic Foglia (Claimant) vs. Frank Lawrence Vanore (Respondent) Case Number: 09-00921 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Frank Foglia hereinafter referred to as "Claimant" appeared pro se. Respondent Frank Lawrence Vanore hereinafter referred to as "Respondent": Michael Schwartzberg, Esq., an

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Raghavan Sathianathan (Claimant) v. Morgan Stanley DW. Inc. (Respondent) Case Number 03-00802 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Raghavan Sathianathan hereinafter refenBd to as "Claimant" appeared pro se. Respondent Morgan Stanley DW Inc. hereinafter referred to as "Respondent": Tim DiDomenico,

AWARD FINRA DIaputo Reeolutlon In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Citigroup Global Markets, Inc. d/b/a Smith Barney vs. Case Number 09-03272 l-iearing Site: Kansaa City, Missouri Name of Respondent / Counter-Claimant John Pemberton NATURE OF THE DISPUTC Member vs. Associated Person REPRESENTATION QF PARTIES Citigroup Gtobal Markete, inc. d/b/a Smith Barney ("ClaimanT or Xitigroup') waa repr

AMENDED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Meredith Sweatland vs. CaseNumt>er 09-00560 Hearing SHe: Columbus, Ohio Name of Respondent / Third-Partv Claimant UBS Financial Services, Inc. vs. Third-Partv Respondent Brad Sweatland MATURE OF THE DISPUTC Customer VS. Member Public Arbitrator Pilot Program/All Public Panel REPRESEMTATIQM OF PARTIES Meredith Sweatland fClaima

stipulated Award FINRA DIapute Resolution In the Matter of the Arbttration Between: Nan^e of ttie Claimant Case Number 09-02079 Banc of America Investment Senn'ces, Inc. Name of the Respondent Hearing Stte: Memphis, Tennessee J. Michael Sciara Nature of the Dispute: Member v. Associated Person. REPRESENTATION QF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Ctaimanf: Diane C. Fischer, Esq., RonaM P. Kane,

AWARD FINRA Dispute Resolution In the Matter of the Arbttration Between: Names of Clalmante Kevin D. Wagner, Sandra M. Wagner, and Martin Wagner vs. Case Number 09-05663 Hearing Stte: Detrott, Michigan Names of Resiwndente GunnAltan Financial, inc., Questar Capttai Corporation, Maximum Financial Group, inc. d/b/a Maximum Financial Group, and Frank J. Biuestein NATURE OF THE DISPUTE Customere vs. Membera, Non-Member, and Associ

Stipulated Award FINRA Dtoputo RMolutlon In the Matter of the Arbitration Between: NameoftheCiaimant Case Number 09-04975 Morgan Kaegan & Company. Ina f^lfflneoftheReaPondent Hw^lnggitg; Atlanta, Georgia Jason K. Adams Nature of the Dispute: Member vs. Assodatad Person. REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc., heralnafler rsferred to as 't^laknant^ Wiiiiam McCourt Schmitt, Jr., Morgan Keegan & Co., Ina, Memphm, Tennessee.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: TD Ameritrade, Inc. (Claimant) v. Nancy H. Frain (Respondent) Case Number: 09-03884 Hearing Site: Boston, Massachusetts Consolidated with TD Ameritrade, Inc. (Claimant) v. William F. Frain (Respondent) Case Number: 09-03885 Hearing Site: Boston, Massachusetts Nature of the Dispute: 09-03884: Member vs. Customer 09-03885: Member vs. Customer REPRESENTATION OF PARTiES

Award FINRA Dtepute Resolution in the Matter of the Art)itration Between: Name of ttie Claimant Case Number: 09-03990 Kajeet, Inc. Name of the Respondent Hearing Site: Battimore, Maryland UBS Financial Services Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Kajeet, Inc., hereinafter referred to as "Claimant": Gregory T. Lawrence, Esq., Conti Fenn & i^wrence LLC, BaltimoFe, Maryland. For UBS Financial Sen/ic

Stipulated Award FINRA Dispute Resolution In Uie Matter of the Arfortration Between: Name of the Claimant Case Number: 09-03614 Curtis Pilot Names of the Respondents Hearina Site: Bimiingham, Alabama Citigroup Global Markets, Inc. Salomon Smith Barney Morgan Stanley Smith Bamey Webb Hutchings Radcliff Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Curtis Pilot, hereinafter referred to a