AWARD FINRA DISPUTE RESOLUTION CASE: 09-04054 Lennart B. Svard (Claimant) vs. Banc of America Investment Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Califon, NJ. For Respondent appeared Kiran Somashelcara, Esq., Wolff & Samson, P.C., West Orange, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 1,2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of fiduciary responsibili

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Allegretta, Suzanne Allegretta, and the JAT Construction Co., Inc. Defined Benefit Pension Plan, Joseph and Suzanne Allegretta Trustees (Claimants) vs. Mark Carmen Casolo, McGinn, Smith & Co., Inc., and Westrocic Advisors, Inc. (Respondents) Case Number: 08-04631 Hearing Site: Albany, New Yori^ Nature of the Dispute: Customers vs. Associated Person and Members. REPRESENTATION

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ellen B. Koval (Claimant) vs. Oppenheimer & Co. Inc. (Respondent) Case Number 08-02468 Hearing Site: New Yori< , New Yori^ Nature of the Dispute: Customer vs. Member. REPRESENTATiON OF PARTIES Claimant Ellen B. Koval hereinafter referred to as "Claimant": Richard J. Babnicic, Esq., Sichenzia Ross Friedman Ference LLP, New York, NY. Respondent Oppenheimer & Co. Inc., hereinafter r

Case Number: 09-03112 Hearing Site: Cleveland, Ohio NATURg QF THE DISPUTE Member vs. Customer REPRESENTATION QF PARTIES SMH Capital, Inc. ("Claimanf) was represented by Martha F. McDugald, Esq., Ballard & LitUefield LLP, Houston, Texas. John Difini ("Respondent") was represented by Robert L Moore, Esq., Willoughby Hills, Ohio. CASE INFORMATION The Statement of Claim was filed on or about April 28,2009. The Submission Agreement of Claimant, SMH Ca

STIPULATED AWARD FINRA Dlsputo Resolution In the Matter of the Arisitration Between: Name of Claimant Joseph M. Vanek vs. Case Number: 08-04774 Hearing Site: Chicago, Illinois Names of Respondente UBS Financial Sen^ices, Inc., UBS Securities, LLC, UBS AG, and Douglas Eaton NATURE QF-mg DISPUTE Customer vs. Members, Non-Member and Associated Person REPRESENTATION QF PARTIES Joseph M. Vanek ('Clalmanf) was represented by Alberto Rod

AWARD FINRA DIeputo Resoiutlon In the Matter of the Arialtratton Between: Names of Claimante Albert Bedran, and Albert and Wendy Bedran vs. Case Number 09-01258 Hearing Site: Chicago, Illinois Name of Respondent Advanced Equities, Inc. and Name of Third-Partv Claimant Advanced Equities, Inc. vs. Name of Third-Partv Respondent Dan Alan Camphausen NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION QF PARTIES

AWARD HNRA DIeputo Reeolutlon In the Matter of the Arbitration Between: Name of Claimant Terry W.Green vs. Case Number: 08-04703 IHearing Site: IHouston, Texas Name of Respondent UBS Financial Services, inc. NATURE OF THE DISPUTE Customer vs. Member REPRESEMTATIQM QF PARTIES Terry W. Green ("Claimant") was represented by Samuel B. Edwards, Esq., Shepherd Smtth Edwards & Kantes, Houston, Texas. UBS Financial Services, inc. ('Respon

AWARD FINRA Dispute Resoiutlon In the Matter of the Arisrtratton Between: Name of Claimant Gforia Armstrong vs. Case Number 07-03554 Hearing Site: Detroit, Mkiilgan Names of ResDondente GunnAlten FInandal, Inc.. Frank J. Biuestein, Quester Capltel Corporatton, Maximum Financial Group. Inc.. and F.F., Inc. and Name of CrosfrCiaimant/Counter Cross-Resoondent GunnAlten FInandal, Inc. vs. Name of Crpsa-ResDondent/Counter Cross-Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 0&-03806 Banc of America Investment Services, Inc. Respondent Hearing SHe: Los Angeles, Califomla Richard Cameron Walker Nature of the Dispute: Member vs. Associated Person REPRESENTATION QF PARTIES Claimant, Banc of America Investment Services, Inc., hereinafter referred to as "Banc of America" or "Claimant": David H. Smith, Esq., Kane & Fischer, L

AWARD FINRA Dtepute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Steven Esposito vs. Case Number: 08-03070 Hearing Site: Chicago. Illinois Name of Resoondent/Counter-Clalmant Citigroup Global Markete. Inc. NATURE QF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Steven Esposito ("Cteimanr) was represented by Nicholas P. tevarone. Esq.. The lavarone Law Firni. P.C, Chicago