f\ AWARD RNRA DISPUTE RESOLUTION CASE: CASE NUMBER: 09-04857 James E. Hayter (Xlalmann vs. Merrill Lynch, Pierce, Fenner & Smith lrux>rporated ("Respondenn REPRESENTATION OF PARIIES: Claimant appeared prose. For Respondent: Ira L. Oring, Esq., Fedder and Garten, PA. Baltimore, Maryland. NATURE OF DISPUTE: Customer vs. Memt)er. DATE FILED: August 14,2009. CASE SUMMARY: Claimant asserted the cause of action of failure to follow Inst

AWARD RNRA Dtoputa Resoliitlon in the Matter of the Art)itration Between: Names of Claimante Clyde C. Byram and Meteena K. Byram vs. Names of Respondente William B. Rosenttial and Juite Rosenthal d/b/a Rosenthal Retirement Planning, L.P. Case Number 09-01724 Hearing Site: St. Loute, Missouri NATURE OF THE MSPIITE Customers vs. Non-Member and Associated Persons REPRESENTATION QF PABHES Clyde C. Byram and Meleena K. Byram ("Ciaimante")

AWARD FINRA Dteputo Resolution In the Matter of the Ariaitration Between: Name of Claimant BariSara Bauer vs. Case Number 09-04686 Hearing Site: Chicago, Illinois Names of Respondente UBS Financial Services, Inc. and Anthony Cibotti NATURE OF THE DiaPUTg Customer vs. Mentoer and Associated Person REPRESENTATION OF PARTIES Bart}ara Bauer ("Claimanf') was represented by Harvey R. Hennan, Esq., Clausen Miiler, P.C., Chicago, Illinois

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Donna Jean Zgonina, Individually and as Co-Trustee of the Caaimir H. Zgonina 2000 Insurance Tmst vs. Case Number 06-02711 Hearing Site: Chicago, Illinois Nqmes of Respondente Stifel, Nicolaus & Company, Inc. and George E. Johnson MATURE OF THE DISPUTg Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Donna Jea

Award Data Award: $20,475.00 Interest: $0.00 Interest: at the rate of ten percent (10%) per annum from May 20, 2010 to June 19.2010 Attorneys' Fees: $0.00 Costs: $525.00 Other: $0.00 AWARD: The undersigned Arbitrator has decided and detennined in full and final resolution of the issues submitted for detennination as follows: 1) Respondent is liable for and shall pay to the Claimant compensatory damages of $20,475.00. 2) Respondent is liab

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05559 Mark Segreto (Claimant) vs. Marquis Financial Services, Inc., and Matthew Sexton (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared B. David Jarashow, Esq., Freehold. NJ. For Respondent Marquis Financial Services, Inc., appeared Martin P. Unger, Esq., Certilman Balin Adier & Hyman, LLP, East Meadow, NY. Respondent Matthew Sexton appeared pro se. Floral ParW, NY. NATURE OF DISPUTE: Customer v.

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Merrill Lynch, Pierce Fenner & Smith. Inc. (Claimant) vs. Azam F. Baroulchiam (Respondent) Case Number: 07-02316 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc., hereinafter referred to as "Claimant": Benedict L. Sliney, Esq., Leventhal & Sliney, LLP., Roslyn, NY. Previ

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Banc of America Investment Sen/ices, Inc. (Claimant) vs. Marie H. Pollack (Respondent) Case Number: 08-01708 Hearing Site: Newaric, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Sen/ices, Inc., hereinafter referred to as "Claimant": David H. Smith, Esq. and Gregory Simon, Esq., Kane & Fischer, Ltd.,

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Morgan Stanley Smith Barney LLC (Claimant) vs. Kirk Barrett (Respondent) Case Number 09-05062 SITUS: Boston. Massachusetts. NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES Morgan Stanley Smith Bamey LLC. hereinafter refened to as "Claimant": Alan S. Brodherson, Esq.. Law Offices of Alan S. Brodherson, New York, NY. Respondent did not enter an appearance

Award FINRA DiepulB Reeolution In the Matter of the Arbitration Between: Greg and Kathy Call, Susan Visconti, and Kelli Tuttle (Claimants) vs. Jeffrey Southard and GunnAllen Financial (Respondente) Case Number: 09-03927 Hearino Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimante Greg ("G. Call") and Kathy Call ("K. Call"). Susan Visconti CVisconti"), and Kelli Tuttle