AWARD FINRA Dteputo Reeolution in the Matter of the Arbttration Between: Name of Claimant/Counter-ResDondent Banc of America investment Services, inc. vs. Name of ResDondent/Counter-Ciatmant William E. Snooks Case Number 08-02119 Hearing Site: Kansas City, Missouri MATURE OF THgPISPUTg Memt)er vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Sen/ices, inc. ("Claimanf or "BOA") was represented by Ronald Kane,

AWARD FINRA Dteputo Reaolutlon in the Matter of the Aristtration Between: Names of Claimante Harold and Mary Johnson, JTWROS vs. Case Number: 09-00360 IHearing Stte: Oklahoma Ctty, Oklahoma Names of Respondente A.G. Edwards & Sons. Inc. and Thomas Henry Avant NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Harold and Mary Johnson, JTWROS ("Claimant") was represented by Terry D. KordeliskI,

stipulated Award FINRA DIapute Reeoiiitlon In ttie Matter of ttie Aristtration Bebveen: Name of ttia Claimant Case Number 08-04907 Henri Btoto NwwoUhgnwpofriwn FMSbonde, Inc. Namaaof ttie Third Pati Reaoondante Hearing Site: Ft iJUidardato, Ftorida Fkteltty Brokerage Sefvteea, LLJC Michael BorgtoU t4ature of ttie Disputo: Customer vs. Member va. Member and Aaaodatad Peraon. REPRESEWTATIQN OF PARHES For Henri Blato, hereinafter ref

Award FINRA Dteputo Reeolution In the Matter of the Arit)ttration Between: Namea of ttie Claimante Case Number 09-00809 Merc L. Krever June O. iOever Names of ttie Raaoondente Hearing Site: Boca Raton. Ftorida Cttigroup Gtobal Maricete, Ina Ronaki Lloyd Fishtwin Natora of the Dtepute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Marc L. Krever and June G. Krever, hereinafter coilectivety referred to as "Cte

Award FINRA Dtoputo Reeolution In the Matter of the Art>ttration Between: Name of ttie Cteimant Case Number 08-03123 Citigroup Gtobel Mariceto, Inc. d/b/b Smtth Barney Names of ttie Respondente Hearing Site: Waahtooton. D.C. Peter F. Dunne (3eorgeA.Dunn LoriVanDusen DavMMattte Bnjce\Atell Winship l^oss l^tohard Vankuran Jeffrey Wagner Thomas Hawks Jeffrey Santos James Henson Dougtes Smtth (Convergent Weatth

Award FINRA Dteputo Reaolutlon In tiie Matter of the Arbitration Between: Name of the Cteimant Case Number 09-02444 Jamte N. Htees Namea of tfie Respondento Hearing Site: Cteanwater, Florida Tax Shelter America, Inc. Ronaki J. Gtovino, Jr. Money Conoepto Capitol Corporation Global Worid Networic Securities. Inc. Natora of the Disputo: Associated Person vs. Non-Member, Associated Person and Member. REPRESENTATION OF PARTIES For Jam

Awnrd FINRA DIaputo Reaolutlon In ttie Matter of the Arbitration Between: Names of ttie Clahnante QgW NumlWP 09^372 AmsalWoreta AMogBirara Names of ttie Respondento Hearing Site: Baltimore. Marytend ETradeSecuritteaLLC Marcelo Mteno Natora of ttie DIaputo: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Amsal Woreto (n/Vorato") and Aktog Birara ("Birara"), hereinafter coitecttvely refened to as "^imante,' appeared

Award FINRA Disputo Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-01743 Wachovia Securities, LLC Respondent Hearing Site: [Denver, Colorado Alan R. Coriiss Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimanf or 'Wachovia": Timothy N. Will. Esq.. Albert & Will, LLP, Tonance, Califomia. Respondent, Alan R. Corii

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-01873 Ronald E. Morenz Respondent Hearing Site: Phoenix, Arizona Ameriprise Financial Services, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Ronald E. Morenz, hereinafter refenBd to as "Claimant": David Neuman, Esq.. Stoltmann Law Offices, P.C.. Chicago, Illinois. Respondent, Ameriprise Financial Service

Award FINRA Diaputa Reaoiutlon In the Matter of the Arbitration Between: Claimant Caae Number 09-00722 White Pacific Securities, Inc. Respondent Hearing Site: San Francisco, California Sparten Securities Group, LTD. Nature of the Dispute: Member vs. Member REPRESENTATION OF PARTIES Claimant, White Pacific Securities, Inc., hereinafter referred to as "Claimant": Patrick BaMwin, Esq. and Christopher Mader, Esq., Baldwin Law Group, Menio Paric,