Award FINRA Dispute RMOlutloii In the Matter of the Arbitration Between: NameoftheCialmant Case Numtwr 09-04883 Wachovia Securities. LLC Name of the Respondent Hearing Site: Jackson. MisalsatoDi Hubert L. Runnels, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities. LLC, hereinafter refened to as "Claimanf: Stephen D. Bums. Esq.. Law Office of Danlei S. Flore. Arlington. Virginia. Res

Award FINRA Diapute Reedution In the Matter of the Ariaitration Between: NameaQfttieCtetoiante Case Number 0g-024S5 Alan J. Kimfian Peter R. Dunn Nama of the Respondent Hearing Site: Boca Raton. Ftorida Citigroup Global Martceto, Inc. Nature of the Dtopute: Associated Person vs. Member. REPRESENTATIOM OF PARTiES For Alan J. Kirman ("Kirnian") and Peter R. Dunn ("Dunn"), hereinalter collectively referred to aa "Ctoimante": DavM J. FeingoM.

StIpulafedAwerd FINRA Dtepute Reeolutlon In the Matter of the Arbttratton Between: Ctolmant Case Number 09-05226 Daphne Gieseldng, Tmstee of the Gieselcing Family Truat Dated October 3,2002 Reanondente Hearing Site: Phoenbc, Arizona The Chariee Schwab Corporation Charies Schwab & Co., Inc. Nature of the Dtoputo: Customer vs. Member and Non-IMember REPRESEMTATIQM OF PARTIES Claimant Daphne Gieseldng, aa Trustee of the Gieseldng Family Trust Da

Aewanl FINRA Dtopma Rseokmon to ttw Matter of ttie Arbltratton Between: OrimMte Caaa Number 0^13291 MelvtoDtae Evelyn DIae Hearing SMe: San FrandBCO.Callfamto The Concord EquHy Group, U-C JohnWIMamPene Nature of ttie DIaputo: Cuatomera VB. Member and Aaaodated Person REPRESEMTATIQM OF PAICTlEa Claimanta, MeMn DIaa and Evelyn DIaa, heretoafter oollecflvelyrefiarrBd to aa "Clalmantar: Scott R. Shewan, Eaq., Bom, Papa & Shewan, LLP, Oovla, C

Avrard FINRA Diapute Resolution In ths Matter of the Ari3itraHon Between: Ctehnant Case Number. 09-01431 Gerato Edward McCoy Respondent Hearing Site: Salt Lake City, Utah UBS Financial Services. Ina Nature of ttie Dispute: Customer vs. Member REPRESENTATION OF PARTIES Cialment Gerato Edward McCoy, hereinafter referred to as "CtolmanT: Jan Graham, Esq., Graham Law Offtoes, Salt Lake City, Utah Respondent, UBS Financial Services, Ina, heret

Award FINRA Dispute Reaolutlon In ttie Matter of the Arbttration Between: Name of ttie Claimant Case Number 08-00632 Eiizabetti K. Rtohert Names of ttie Respondente Hearina SHe: Mtomi, Ftorida Next Financial Group, Inc. Brookshire Securities Corporation Thomas Ruggtoro Peter Chung Natore of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elizabeth K. RIchert, hereinafter refened to as "Ctoimant"

Award FINRA Dteputo Reaolutlofi In ttie Matter of ttie Artittration Between: WamaoffttwCtotoiant Case Numt>er. 0M6704 Beja Rnance International Name of ttie Reapondent Hearing SHe: Miami, Ftorida RBC Dain Rauscher fonneriy Tucker Anthony. Inc. Natore of ttie Dtopute: Customer vs. Member. REPRESENTATION OF PARTIES For BeJa Finance Intemattonal, hereinafter refsrred to as "Ctoimanf: Robert L Schenk, III. Esq.. Caneraa & Lemoine, LLP, Attant

Award FINRA Dteputo Reeolutlon In ttie Matter of ttie Ari>ttratton Between: Name of the Claimant Case Number 09M209 The Estate of Philip Greenbaum Name of the Respondent Hearina SHe: Boca Raton, Florida Citi Smtth Barney a/Ma Citigroup Gtobal Maricete Inc. Nature of the Dtopute: Customer vs. Member REPRESENTATION OF PARTIES For The Estate of Philip Greenbaum, hereinafter referred to as "Claimanf: Adam Doner, Esq., Gordon & Doner, P.A., Pa

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Art)ifration Between: Marilyn Hazell vs. Peak Securities Corporation, Kari H. Wolf and David Dube Case Number 09-05643 SITUS: Oriando, Florida NATURE OF DISPUTE: Customer vs. Member Tenninated and Associated Person. REPRESENTATION OF PARTIES: For Marilyn Hazell, hereinafter referred to as "ClaimanT: Nicholas D. Thomas, Esq.. Vero Beach, Ftorida. For Respondent Kari H. Wolf fWolT): Michael S. Lament,

Award FINRA Dtopula Reaohidon In the Matter of the Arbitratton Between: NameoftheCteimant CaS&NUQSSZfiC 0M3354 Chrtotlna Adter-Carhart NannaaQfthaReaDondente HWrinflSWg; Orlando, Florida Melante S. Sweet Rayntond Jamea Financial, Inc. MetLlfeSecurWes,lnc. Nandy Serrano Nature of the Dispute: Customer vs. Member and Asaodaled Person. REPRE WNTATWN PF P^CTE? For Christina Adier-Carharthereinafler referred to as "CtalmanT: Patrick Richmo