Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Barbara Tichner (Claimant) vs. Jason K. Chepenik, Barnett Chepenik, Chepenik Financial, NRP Financial, Inc., Pershing LLC. National Financial Services LLC, and Lincoln Financial Advisors Corp. (Respondents) Case Number: 08-01792 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Members, Non-Member, and Associated Persons REPRESENTATION OF PARTIES Claimant Barb

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02536 FOLIOfn Investments, Inc. Names of the Respondents Hearing Site: Fort Lauderdale, Florida Ralph Anteby Barouch Anteby Grace Anteby Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For FOLIOfn Investments, Inc., hereinafter referred to as "Claimant": Jorge A. Herrera, Esq., Bressler, Amery & Ross, P.C.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Brenda Benoit (Claimant) vs. John Spohler and JP Morgan Securities, Inc. (Respondents) Case Number: 08-03828 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Brenda Benoit "Claimant": Jacob Zamansky, Esq., Zamansky and Associates, New York, NY. Respondents John Spohler ("Spohler") and JP Mor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jarod C. Winters (Claimant) v. Barclays Capital, Inc. and Barclays Bank PLC (Respondents) Case Number: 08-03001 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Jarod C. Winters hereinafter referred to as "Claimant": David N. Kleinmann, Esq.. Tarter Krinsky & Drogin, LLP. New York, NY. Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ducki^yu Chang, Kee Chang, and Ducki^yu Chang TTEE Cumbertand Pathology Associates. LLC (Claimants) vs. McGinn. Smith & Co.. Inc., Timothy M. McGinn, David L. Smith, Thomas E. Livingston, Lex & Smith Associates Ltd., William F. Lex. McGinn Smith Advisors, LLC. and McGinn. Smith Capital Holdings Corp. (Respondents) Case Number: 08-04924 Hearing Site: Philadelphia, Pennsylvania Nature

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Ariaitration Between: Name of the Claimant: Case Number 09-01781 Banc of America investment Services, Inc. Name of the Respondent: Hearing Site: Los Angeles, California Charies Ray, Jr. Nature of the Dispute: Memt>er vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc. hereinafter referred to as "Claimant" or "BAI": Jeffrey S. Hood. Esq., Kane &

Award FINRA DIeptito Reeolutlon in the Matter of the Art)ttration Between: Claimant Case Number 08-00452 Paige J. Shemnan Respondent Hearing Site: San Franciaco, CalHbmia Citigroup Global Maricets, Inc. Counter-Claimant Citigroup Glok>al Maricets, Inc. Counter-Respondent Paige J. Shennan Nature of the Dispute: Associated Person vs. Member Member vs. Associated Person REPRES^HTATIPN OF PWT'gs Claimant/Counter-Respondent, Paige

Case Number: 06-05002 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant" or "BAI") was represented by David H. Smith, Esq., Kane & Fischer, Ltd.. Chicago, Illinois. Jeffrey William Myers ("Respondent" or "Myers") was represented by Patrick T. McLaughlin, Esq., Spencer, Fane, Britt & Browne, LLP, St. Louis, Missouri. CASE INFORMATION The S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Barry and Janet Lang (Claimants) vs. Kimball & Cross Investment Management Corp., and Richard R. Laine, Jr. (Respondents) Case Number: 05-00924 Hearino Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTiES Claimants Barry Lang ("B. Lang") and Janet Lang ("J. Lang"), hereinafter collectively referred to as "Claiman

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Frank Owens (Claimant) vs. Barriger & Barriger. Inc., Gaffken & Barriger Fund, LLC, G&B Partners. Inc., Barriger Capital, LLC, Bridgeville Management. LLC, Lloyd Vernon Barriger. Linda Jane Barriger, and Andrew McKean (Respondents) Case Number: 08-02537 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member, Associated Persons, and Non-Members. REPRESENTATION OF