AWARD FINRA Dtepute Reaolutlon In the Matter of the Aribitration Between: Name of Claimant Robin L. Visocsicy vs. Case Number 08-00462 Hearing Site: Kansas City, Missouri Name of Respondent IHomor, Townsend & Kent, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESEMTATIQM OF PARTIES Robin L. Visocslcy ("Claimant") was represented by Joel A. Goodman, Esq., and Kalju Nekvasii, Esq., Goodman & Nekvasil, PA, Cleanwater, Florida. I

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Faye Rut>ack vs. Case Number 09-01467 Hearing Site: Omaha, Nebraska Name of Resoondent UBS Financtei Senrices, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Faye Ruback ("Claimanf) was represented by Davki A, Weinbaub, Esq., David A. Weintraub, PA, Ft. Lauderdale, Florida. UBS Financial Senrices, Inc. ("Respondenf')

STIPUIJ\TED AWARD FINRA Dispute Reeolution In the Matter of the Arbitration Between: Name of Claimant Lauren J. Steuffer vs. Case Number 09-03343 Hearing Site: Kansas City. Missouri Name of Respondent Legend Equities Corporation NATURE OF THg DISPUTg Associated Person vs. Meml>er Imuran J. Steuffer ("Claimanr) was represented by Jeffrey S. Kruske, Esq., Law Office of Jeffrey S. Kruslce, PA, Overiand Park, Kansas. Legend Equities Corpo

Award FINRA Dtepute Reaolullon In ttie Matter of ttie Art)ltratton Between: Name of ttie Claimante gsejjumg9c0&^)0813 Jamea Searcy, Trustee of the Jamea Searcy Revocabto Truat U/A/D 12^)1/95 and ttie Jamea Searcy IRA Name of ttie Reaoondente Hegflnfl g||e: Laa Vegaa, Nevada Cttlgroup Gtobal Maricete, Ina n/k/a Morgan Stanley SmHh Barney, LLC; George Frederick Manaka; and ShirieyJeanGlireath Nature of the Diapute: Customers vs. Member

Award FiNRA Dtepute Resolutton in ttie Matter of ttie Artiittation Between: Ctolmante: Case Number 08-03255 Frank DavM Selters Jay Lssite Carpenter ResDondente: Hearing Site: Daites, Texas Stifel, Nicoteus & Co., inc. Steven H. Bright Nature of the Dispute: Customers vs. Member and Assodatad Parson REPRESENTATION OF PARTIES Cteimanto, Frank David Selters fSelters"), and Jay Leslte Carpenter ("Carpenter^, hereinafiar collecttvely refen

Award FiNRA Dtopute Resolution In the Matter of the Arbitration Between: Claimante: Case Number 09-00047 Windward Capital Management Co. S. L. Reed & Company Respondent: Hearing Site: Los Angeles, California Raymond James Financial Services, Inc. Natore of the Dispute: Member and Non-Member vs. Member REPRESENTATION OF PARTIES Claimante. Windwanj Capital Management Co. CWlndward") and S. L. Reed & Company ("Reed"), hereinafter collectivel

Award FINRA Dispute Resolution In the Matter of the Arbttration Between: Name of the Claimant Case Number: 09-03773 Dora Mcllhenny Trust U/A 6/6/90 Name of the Respondent Hearing Site: Tucson, Arizona Wachovia Securities, LLC n/k/a Wells Fargo Advisore, LLC Nature of the Dispute: Customer vs. Memk)er REPRESENTATION OF PARTIES Claimant, Dora Mcllhenny Trust U/A 6/6/90, hereinafter refenred to as "Claimanf: Kevin T. Hoffman, Esq., Law Offices o

Award RNRA DIepute Resolution In ttie Matter of ttie AriE)ttration Between: Name of ttie Claimant CflW NtiffllWr; 09-00894 Banc of America Investment Sen/lces Name of ttie Respondent Hearing Site: Boca Raton, Rorida Neil L. Brown Nature of tiie Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Sen^lces, hereinafter refenred to as 'CiaimanT: Gregory Simon, Esq., Kane & Fischer, Ltd., Chicago, Illin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 08-01314 Estate of William Coieman Bryan Lida H. Bryan Name of the Resoondent Hearing SHe: Nashville. Tennessee Morgan Keegan and Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For the Estate of Wiiiiam Coleman Bryan ('Coleman") and Lida H. Bryan ("Bryan"), hereinafter collectively referred to as

Award FINRA Dispute Resolution in the Matter of the Art^itration Between: Oppenheimer & Co., Inc. (Claimant) vs. i\^ichael C. Napoliteno (Respondent) Case Number: 09-02129 Hearino Site: New Yoric, New Yorit Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., inc., hereinafter referred to as "Claimanf: Deborah Dicicstein, Esq., Oppenheimer & Co., inc., New Yoric, NY. Respondent Michael C. Napoliten