Award FINRA Dispute Resolution In the Matter of the Arbitration Between; David Pichler and James Higgins (Claimants) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 08-04191 Hearina Site: New York, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants David Pichler ("Pichler") and James Higgins ("Higgins"), hereinafter collectively referred to as "Claimants": David B. Wechsler, Esq.. Wechsler &

Award FINRA Dispute Raaolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01079 Eric W. Bunker Respondent Hearing Site: San Francisco, Califomia Jason Lee Seaie, III Counter-Claimant Jason Lee Seaie, ill Counter-Respondent Eric W. Bunker Nature of the Disputes: Associated Person vs. Associated Person, and Associated Person vs. Associated Person REPRESENTATiON OF PARTIES Claimant/Counter-Respondent, Eric

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-00469 Robert Scoft Rose ResDondente Hearing Site: Los Angeles, California Sanah Chung John Breckenridge Barnes Nature of the Dispute: Associated Person vs. Associated Person and Associated Person REPRESENTATION OF PARTIES Claimant, Robert Scott Rose, hereinafter referred to as "Claimant" or "Rose": Philip D. Dapeer, Esq, Philip Dapeer, A Law

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-02749 Michael Banayan Name of the Respondents Hearino Site: Los Angeles, California Morgan Stanley & Co. Incorporated Financial Industry Regulatory Authority Nature of the Dispute: Associated Person vs. Member and Non-Member REPRESENTAHOW OF PARTIES Claimant. Michael Banayan, hereinafter referred to as "Claimant: Leonard Steiner, E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 08-04780 Robert Sudduth The Sudduth Family Tnist Names of the Respondents Hearing Site: New Orieans. Louisiana James R. Holdman NWT Financial Group, LLC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Sudduth ("R. Sudduth") and The Sudduth Family Tmst ("Sudduth Family Trust^

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number Q8-Q3264 Laurence M. Frank Laurence M. Frank IRA Lois L. Frank IRA Adam Joel Frank Adam Joel Frank IRA Isaac Frank Isaac Frank IRA Ngrne of the Respondent Hearing Site: Atlanta, Georgia Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Laurence M. Frank ("L. Frank"),

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05047 Brandy Rowan (Claimant) vs. Mark Steckier, Caruso McLean & Co., and Royal Alliance Associates, Inc. (Respondents) REPRESENTATION OF PARTIES; Claimant appeared pro se. Whitesboro, NY. For Respondents appeared Gregory M. Curley. Esq., Royal Alliance Associates, Inc.. New York, NY. NATURE OF DISPUTE: Customer v. Associated Person. Non-Member, and Member DATE FILED: August 28, 2009 CASE SUMMARY: Claimant

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Further Lane Securities, L.P. (Claimant) v. Evan Schwartzberg and Odeon Capital Group. LLC (Respondents) Case Number: 09-02760 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Further Lane Securities, L.P., hereinafter referred to as "Claimant": Carole R. Bernstein, Esq., The Law Office

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04891 Banc of America Investment Services, Inc. (Claimant) vs. Edward O'Connor (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diane C. Fisher. Esq., Kane & Fischer. Ltd.. Chicago. IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 19. 2009 CASE SUMMARY; Claimant asserted the following cause of action; breach of promissory

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Jeffrey Lamboy (Respondent) Case Number: 09-04297 Hearing Site: New York. New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATiON OF PARTiES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq.. and D. Daxton White, Esq., Kane & Fischer. Ltd.,