AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants / Counter-Respondents WJIbanks Securities, Inc. and Travelers Casualty and Surety Company of America. Inc.. as Subrogee of Wilbanl^ Securities, Inc. vs. Case Number: 06-04728 Hearing Site: Oklahoma City. Nebraska Name of Respondent / Counter-Claimant AXA Advisors, LLC Member and Non-Member vs. Member Wilbanks Securities. Inc. C^ilbanks") was repres

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Banc of America Investment Services, Inc. vs. Case Number: 09-00251 Hearing Site: Chicago, Illinois Name of Respondent Chad Caros NATURE OF THE DISPUTE Member vs. Associated Person Banc of America Investment Services, Inc. ("Claimant" or "BAI") was represented by Diane C. Fischer, Esq., Kane & Fischer, LTD., Chicago, Illinois. Chad Car

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: America's Choice Equities. LLC (Claimant) vs. Stephen M. Liotta (Respondent) Case Number: 09-04628 Hearing Site: New York, New York NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES Claimant America's Choice Equities, LLC, hereinafter referred to as "Claimant": Raynrond Nardo, Esq., Raymond Nardo. Attorney at Law, Mineola, NY. Respondent Stephen M. Liotta

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04196 Francis J. LaLuna (Claimant) vs. ING Investment Management Services LLC ^Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Tunkhannock. PA. For Respondent appeared Matthew Tracy. Esq.. Winget. Spadafora & Schwartzberg LLP. New York, NY. NATURE OF DISPUTE: Customer v. Member DATEFILED: July 13, 2009 CASE SUMMARY: Claimant asserted the following cause of action: unsuitability. The cau

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04048 Sharon P. Duliga (Claimant) vs. Fidelity Brokerage Services. LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Delray Beach, FL. For Respondent appeared Christine M. Hanna. Esq.. Fidelity Brokerage Services LLC. Boston, MA. NATURE OF DISPUTE: Customer v. Member DATEFILED: July2. 2009 CASE SUMMARY: Claimant asserted the following causes of action: negligence and misrepresentation.

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02917 Shirley A. Ward and Shirley A. Ward and Debra M. Hamilton Living Trust (Claimants) vs. UVEST Financial Services Group, Inc., and Jean Elzayek (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Shirley A. Ward, Cosmopoiis, WA. For Respondents appeared Sara B. Davis, Esq., LPL Financial Corporation, Boston, MA. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: May 12, 200

Award FINRA Dispute Resolution In the Matter of the Arisitration Be^veen; Names of the Claimante Case Number. 09-02171 James V. Hojecki, Diana R. IHojedcl, As Joint Account Holders, James V. IHoJeclef on behalf of hia Traditional IRA and Roth IRA and Diana R. IHojecKi on behalf of her Roth IRA Names of the Respondents Hearing Site: Fort Lauderdale, Florida Calton & Associates, Inc. and Kenneth Popek Nature of the Dispute; Customer

Award FINRA Oisput* R«SQlutfon In the Matter of the Arbitration Between: IMame of \he Claimant Case Number 08-03086 National Securities Corporation Name of the Respondent Hearing Site: Boca Raton, Florida Richard Darquea Nature of the Dispute: Member vs. Associated Person. REPRgSEWTATlON OF PARTIES For National Securities Corporation, hereinafter referred to as "Claimant': Joahua A. Katz, Esq., Sallah & Cox, LLC, Boca Raton, Ftorlda. Rich

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Katy Bekiarides (Claimant) vs. Morgan Keegan and Company, Inc., and James C. Kelsoe, Jr. (Respondents) Case Number: 08-02464 Hearino Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Katy Bekiarides hereinafter referred to as "Claimant": Adam J. Gana, Esq., Napoli Bern RIpka LLP, New York, NY. Respon

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03374 Ira L. Goodman Rev. Trust (Claimant) vs. Charles Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se.. Scottsdale. AZ. For Respondent appeared Mai Klaassen, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 2. 2009 CASE SUMMARY: Claimant asserted the following cause of action: interest charged in error. Claim