Award FINRA DIaputo Resolution In tiie IMatter of the Ari3itration Between: Name of the Claimant Case Number 09-03869 Lorraine T. Barchinger Name of the Respondente Hearing Site: Phoenix, Arizona B. C. Zlegler and Company John Joseph Foitz WilltemReilteyHerf Nature of the Dispute: Customer vs. Memt>er and Associated Persons REPRESENTATION OF PARTIES Claimant, Lonralne T. Barchinger hereinafter referred to as 'ClaimanT: pro se, Sun City,

Awaid FINRA Dtoputi RoMhitlon In the Matter of the Art)itialion Between: Name of the Claimant KenSlris Name of the Resoonderrta: Wachovia Securities, LLC MafkT. Schnekier Randall W.Hunt And; Name of the Counter-Claimant Wachovia Securities, LLC Name of the Counter-Reapondent KenSlris Case Number 0»)2858 Hearing SHa: Los Angeles, Callfbmia Nature of the Disputes: Customer vs. Member and Assodated Persons Member vs. Cust

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number. 09-04830 Sagepoint Financial Inc. Rest)ondent Hearing Site: Denver, Colorado Charies Lome Davey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Sagepoint Financial Inc., hereinafter refened to as "Claimant" or "Sagepoint": Craig A. Vollano, Esq., Royal Alliance, New Yoric, New Yori(. Respondent, Charies Lo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vincent Pisaturo (Claimant) vs. Janney l\4ontgomery Scott LLC (Respondent) Case Number: 09-03998 Hearino Site: Providence, Rhode island Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Vincent Pisaturo hereinafter referred to as "Claimant": Marcia Pisaturo, Narragansett, Rl. Respondent Janney Montgomery Scott LLC hereinafter referred to as "Responden

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: l^ichael Keleher (Claimant) vs. ING Financial Partners, inc.. Christian U. Wagner, and Richard Vincent Patricic (Respondents) Case Number: 08-02101 Hearing Site: Newari^, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Michael Keleher hereinafter referred to as "Claimant": Saul Roffe, Esq., Stark & Stark.

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Colette McDonald (Claimant) v. Samuel A. Ramirez & Co., inc. and Daniel J. Devaney (Respondents) Case Number: 09-00003 Hearing Site: New Yori^, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Colette McDonald hereinafter referred to as "Claimant": Adoiph D. Seltzer, Esq.. New York, NY. Respondents Samuel A. Ramire

AWARD FINRA DISPUTE RESOLUTION in the Matter of the Arbitration Between: Wachovia Securities Financial Network. LLC (Claimant) vs. Brad Nussbaum (Respondent) Case Number: 07-03583 Hearing Site: Newaric, New Jersey NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities Financial Network, LLC hereinafter referred to as "Claimant": Gregory Tendrich, Esq., Gregory Tendrich, P.A.. Boca Raton, FL. Previous

Award FINRA E)isputa Resolution In the Matter of the Arbitration Between: Names of the Claimants S^&ltlurnt29a 09-02314 Haney Family. LLC Family Funding, LLC Franklin L. Haney Revocable Tnjst Dated 12/28/2006 Npme of fhe Respondent Heytn9.Silfli Atlanta. Georgia Morgan Stanley & Co., inc. Nature of the Dispute: CuaU)meri vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESBrrATIQN OF PARTIES For Haney Family. LLC, F

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert E. Jones vs. Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., and Patrick M. Ford Case Number: 09-01606 Hearing Site: Columbus, Ohio NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Robert E. Jones ("Claimant") was represented by Andrew V. Tramont, Esq., Tramont Guerra & Nunez,

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Estate of Juan Roberto Brittingham-McLean, Deceased vs. Case Number 08-02457 Hearing Site: Houston. Texas Names of Respondents Global Financial Services, L.L.C., RIcardo Perusquia, Gerardo A. Chapa. and Robert C.A. Benjamin Customer vs. Member and Associated Persons Estate of Juan Roberto Brittingham-McLean, Deceased ("Claimant") was represented