Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph A. Sproviero (Claimant) v. Kevin P. Fay and Oppenheimer & Co., inc. (Respondents) Case Number: 09-02279 Hearino Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Joseph A. Sproviero hereinafter refened to as "Claimant": David Liebrader, Esq., Law OfFlce of David Liebrader, Inc., Las Vegas, NV.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Daniel Adam Hanover (Claimant) vs. Cowen and Company, LLC (Respondent) Case Number: 09-04153 Hearino Site: Boston, Massachusette Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Daniel Adam Hanover hereinafter referred to as "Claimant": Laurie Alexander- Krom, Esq.. Davis, Malm & D'Agostine. P.C, Boston. MA. Respondent Cowen and Company, LL

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph R. Patane (Claimant) vs. Charles Schwab & Co.. Inc. (Respondent) Case Number: 09-03079 Hearing Site: Newaric, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Joseph R. Patene hereinafter referred to as "Claimanf: Thomas A. Gentile, Esq.. Lampf. Lipkind, Prupis & Petigrow, West Orange. NJ. Respondent Charies Schwab & Co.. Inc.. her

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01985 Anthony Gerard Manaia (Claimant) vs. United Securities Alliance, Inc., and Royal Alliance Associates, Inc. (Respondente) REPRESENTATION OF PARTIES: Claimant appeared pro se, Lake Angelus. Mi. For Respondent United Securities Alliance, Inc., appeared Michael Jones, United Securities Alliance, Inc., Charlotte. NC. For Respondent Royal Alliance Associates, Inc.. appeared Ambreen A. Delawalla, Esq., Alston &

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00742 Larry J. Arrigoni (Claimant) vs. Wachovia Securities LLC, Wells Fargo Advisors, LLC. and Mark V. Fautech (Respondente) REPRESENTATION OF PARTIES: For Claimant appeared Amy J. ihian. Esq., Brioi & Associates. PLLC, Minneapolis, MN. For Respondente appeared Alan Rafterman. Esq., Wells Fargo Advisors, LLC. St. Louis, MO. NATURE OF DISPUTE: Customer v. Members and Associated Person DATE FILED: February 11. 2010

Award FINRA Dispute Resolution In the Matter of the Arbitration Behiveen: Rome G. Arnold III (Claimant) vs. Banc of America Securities, LLC (Respondent) Case Number 09-04104 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Rome G. Arnold ill ("Claimant"): Michael G. Berger, Esq., l^w Offices of Michael G. Berger, New Yoric, NY. Respondent Banc of America Securities, LLC ("Respo

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06873 James Cunningham, Jr. (Claimant) vs. LPL Financial Corporation (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Citrus Height, CA. For Respondent appeared James D. Vannah. Esq., LPL Financial Corporation, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 5. 2009 CASE SUMMARY: Ctaimant asserted the fbilowing cause of action: failure to execute. The cause of action

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCialmant Case Number: 08-01602 Stifel, Nicolaus & Co., inc. Name of the Respondent Hearing Site: Boca Raton, Florida Owen Mulvaney Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Stifel, Nicolaus & Co., inc., hereinafter refen^ to as "Claimant": Jeffrey C. Primiano, Deputy General Counsel, Stifel, Nicolaus & Company, Incorporat

Award FINRA Dtepute Resolution In the Matter of the Arbitration Between: Names of the Claimante Alvaro I. Zuniga C, Glida F. Copeik) M.. Mauriclo A. Zuniga C. and Mariela A. Zuniga C. Rocco F. Natelino T. and Solange I. Thenoux Z. Jorge Lecaros Vergara, Carmen loiz Valdes Guiilsasti and Jorge Lecaros Valdes Cynthia N Cordlngley P. and James K. Hyiand Marceto Fuchs S. and Jaime Fuchs S. Orione Porzto, Maria De 1^ Paz Errazuriz and Francesca Po

Award FINRA Dtapute Resolution In the Matter of the Arbitration Between: Names of the Claimante Case Number: 09-02355 Arnold S. Ludus Lisa M. Lucius Names erf the Resoondente Hearino Site: Raleigh. North Carolina Stateside Securities, U.C Denise McGee Buchanan Richard Norman Munray James Christopher hiirst Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arnold S. Lucius ("A. Ludus")