Award FINRA Diapute Resolution in the Matter of the Arbitration Between: Robert Stephen Wilioughby (Ciaimant) vs. Weatheriy Securities Corp. (Respondent) Case Number 09-03378 Hearing Site: New Yoric, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Robert Stephen Wilioughby hereinafter refened to as "Claimant": Jeffrey Shepro, Esq., Jeffrey Shepro P.C, New Yoric, NY. Respondent did not enter an appearan

AWARD FiNRA DiSPUTE RESOLUTION CASE: 09-04981 Ronald Kroptavich, Carol Kroptavich, and IRA FBO Ronald Kroptavich (Claimants) vs. SagePoint Financial, inc., and Ronald Fair Pauii (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared John J. McGovem, Jr., Esq., Scranton, PA. Respondent SagePoint Financial, inc., did not appear in this matter. For Respondent Ronald Fair Pauii appeared Dianna 0. McCarthy, Esq., Winget, Spadafora & Schwartzberg, LLP

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-05203 Timothy Maitas (Claimant) vs. Richard Netter and Senate Securities (Respondents) REPRESENTATION OF PARTIES: ' Claimant appeared pro se. New l-lampton, NY. For Respondents appeared Richard Netter, Senate Securities, Kingston, NY. NATURE OF DISPUTE: Customer v. Associated Person and Memfc>er DATE FILED: September 3. 2009 CASE SUMMARY: Claimant asserted the following cause of action: delay in execution of

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05973 David G. Steakley and Paula B. Steal< ley (Claimants) vs. UBS Financial Sen/Ices Inc. (Respondent) REPRESENTATION OF PARTIES: Ciaimante appeared pro se, IHouston, TX. For Respondent appeared Robert Matthews. Esq., UBS Financial Services inc., Weehawken, NJ. NATURE OF DISPUTE: Customers v. Member DATE FILED: October 13, 2009 CASE SUMMARY: Claimants asserted the tollowing causes of action: unjust enrichm

Award FINRA DIsputo Resolution In the Matter of tiie Arialtratlon Between: Names of the Ciaimante David R. Baltey, Jr. Julie Bailey David R. Baitey, III Milton Broadhead Hert)ert Bruister Nelson Hali Linda Hall Timothy D. Hogan David Ray B.J. Ray William L. Ray Robert Ward Candice Ward B&FWiiklnsonLP Charies Wilkinson MllllcentWilidnson Names of the Resoondente MF Global, Inc. Tradewlnd Investmente, LLC

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-02569 Chicago Investment Group, LLC Name of the Respondent Hearing Site: Boca Raton, FL Joseph Galbo Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Chicago Investment Group, LLC ("CiG'^, hereinafter r efisrred to as "Ciaimanf: Howard J. Rosenburg, Esq., CIG, Chicago, IL. For Joseph Galbo ("Galbo"

AWARD FiNRA Dispute Resoiution In the Matterof the Arbitration Between: Name of Claimant Kerry Budry vs. Case Number 07-^136 Hearing Site: Detroit, Michigan Names of Respondents GunnAllen Financial, Ina, Frank J. Bluestein, Questar Capital Corporation, Maximum Financial Group, Ina, F.F., Inc., and i^noona C. Bluestein and Name of Cfoss-Clalmant/Crpss-Respondent GunnAllen Financial, Inc. vs. Name of Cross-Respondent/Cross-Claim

Stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Richard Pascucci (Respondent) pase Number 09-05367 Hearing Site: Buffalo. New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., n/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated hereinafter referred to as "Claimant": Dian

AWARD FINRA DISPUTE RESOLUTION In the l^atterof the Arbitration Between: Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Joseph P. Tiriolo (Respondent) Case Number: 09-05067 SITUS: Hartford, Connecticut. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC f/k/a Wachovia Securities. LLC, hereinafter referred to as "Claimant": Andrew Park, Esq., Park Ratner PLC. Richmond. VA.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Rita Kaufifnan (Claimant) vs. Citigroup Global Martlets, Inc.. and Alfred Francis Kelly, Jr. (Respondents) Case Number: 09-03448 Hearino Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Rita Kaufman hereinafter referred to as "Claimant": Jill Gross, Esq., John Jay Legal Services, Inc., White Plains, NY.