Awaixl FINf^ DIepute Resolution in the Matter of the Arbitration Between: IHampshire Trust Ltd. and Florian Zgunea (Claimants) vs. Tradestation Securities, inc. (Respondent) Case Number: 09-00211 Hearing Site: New Yori< , New Yoric Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimante Hampshire Trust Ltd. ("Hampshire Trusf) and Florian Zgunea ("Zgunea"), hereinafter collectively referred to as "Claimants" appeared pro se.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ari Lee Bayme (Claimant) vs. Milbank Roy Securities, LLC (Respondent) Case Number 09-02547 Hearing Site: New Yorl^, New York Nature of the Dispute: Associated Person vs. Meml^er. REPRESENTATION OF PARTIES Claimant Ari Lee Bayme hereinafter referred to as "Claimanf: Barry R. Lax, Esq.. Lax & Neville. LLP, New York. NY. Respondent Milbank Roy Securities, LLC, hereinafter referred

Award FINRA Dteputo Reeoiutlon In ttie Matter of the Artittratton Between: Name of ttie Ctetoiant Case Number 094)2165 CapHol Securities Menegement, Inc. fteme of ttie Reepondent Hearino SHe: Washington, O.C. Johann Nanayaldcara Natore of the Disputo: Member vs. Assodated Person. REPRESEMTATION OF PARHES For Capttol Securitiee Management, Inc., hereinafter refened to as "Cteimanir: Janet K. DeCoste, Esq., Jsnet K. DeCoste, PA, Washington, D.C

stipulated Award FINRA DIapute Reeoiutlon In the Matter of the Arbttration Between: itoma of ttie Ctelmant Case Number 09-06435 Welte Fargo Advisors, LLC. f/k/a Wachovte Securities, LLC ftome off ttie Respondent MWIfInq SH^: Tampa, Florida BretTadcett Nature of the Dispute: Member vs. Associated Person. RgPRgSEMTATiOM OF PARTIES For Welte Fargo Advisors, LLC, f/k/a Wachovte Securities. LLC, hereinafter referred to es 'X^teimenf: Gregory S

Stipuletod Award FINRA Dlaputo Reeoiutlon In ttw Matter of the Art)itration Between: Names of ttw Ctelmante Case Number 09-00431 Comelto Popesoo Maria Orcoyen de Popesco Liberty Trading, S.A. Names off the Jtosoondente Hearing SHe: Boca Raton, Ftorida Barclays Capitol, Inc., successor In Intersst to Lehman Brothers, Inc. Jose Rncheltub Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATKaN OF PARTIES For

Award FINRA Dtoputo Raeohitlon in ttw Matter of the Arbitratton Between: Clatoient Case Number 09-04146 Banc of America investment Services, Inc. Raaaondent Hearino Site: San Francisco, Caiifomte Gordon Patrick Lewto Nature of the Dispute: Membervs. Assodated Peraon REPRESENTATION OF PARTIES Clalment, Banc of America Investment Senrices, Inc., hereinaner relened to es "Ctelmant": Gregory B. Simon, Esq.. Kane & Fischer, Lto, Chicago, llllnoto.

onpuHnaa iwara flNRA Dtepme Reeolutton In ttw Matterof ttw Art)ttratfon Betvveen: Mama off ttw Clalmante Caaa IMumber: 08-01531 MettftoE-McOonaM VtocentE.Scote NameotttwRaBDondant Hearing Site: San Francteco. Caltemte TDAmerttrade,lnc. NetoreoffttwDlepute: Aasodatad Persons vs. Memtwr REPRESEMTATIOM OF PARTiES Clalmanta, MsMn E. McDonald and Vincent E. Scote, hereinaner ooltocttvely referred to aa 'Claimants': Katfwrine Uvingslon, Eeq., W

Award FINRA Dteputo Reeoiutlon in the Matter of the Arbitration Between: Claimant Case Number: 08-05033 Many E. Licursi Respondents Hearino Site: San Francisco, Cailfdmia Pension Planners Securities, Inc. Tax Defened Senrices Group (TDS Corp.) IRA Center - TDS Regional Office, San Jose LoyD.HoH Alonzo B. Widcers Jon M. Neubert Nature of the Dispute: Assodated Person vs. Member, Associated Persons, and Non-Members REPRESENTATIO

AWARD FINRA Dtoputo Reaolutlon In the Matter of the Arbitration Between: Name of Claimant Sue Ann Lane vs. Case Number 09-02570 Hearing Site: Houston, Texas Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. NATURE QF THE PI8PUTE Customer vs. Member RgPRgSENTATIQM OF PARTIFS Sue Ann Lane ("Claimant") appeared pro se until on or about November 23,2009. After that date, she was represented by Milton H. Fried, Jr., Esq., The

AWARD FINRA Dispute Resolution In the Matter of the Ari3itratlon Between: Name of Claimant Luby's Restaurants Limited Partnership vs. Case Number 08-04007 IHearing Site: Houston. Texas Name of Respondent Credit Suisse Securities (USA), LLC MATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Luby's Restaurants Limited Partnership ("Claimant") was represented by Peter Tropoli, Esq., Houston, Texas until on.or about April