AWARD FINRA DISPUTE RESOLUTION CASE: 09-01414 Ray F. Speights and Gayle Speights (Claimants) vs. UBS Financial Services Inc., Robert Johnston. Great American Senior Benefits, and Patrick Monahan (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Cassidy L. Anderson. Esq., George W. Healy. IV & Associates, Gulfport. MS. For Respondents UBS Financial Services Inc., and Robert Johnston appeared Alise Johnson. Esq.. UBS Financial Sen/ices Inc.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Louis C. Villamana, as Trustee of the Louis C. Villamana Trust, Carol A. Villamana, as Trustee of the Carol A. Villamana Revocable Trust (Claimants) vs. UBS Financial Services Inc. (Respondent) Case Number: 08-04021 Hearing Site: Hartford. Connecticut Nature of the Dispute: Customers vs. Member. Public Arbitrator Pilot Program/All Public Panel. REPRESENTATION OF PARTIES Clai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) vs. Adam R. Lazarus (Respondent) Case Number: 09-01013 Hearing Site: New York. New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co, Inc., hereinafter referred to as "Claimant": Diana Sur, Esq.. Oppenheimer & Co, Inc., New York, NY. Respondent Adam R. Lazarus, hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ellen Oxman (Claimant) vs. Fidelity Brolcerage Services, LLC and Bert lannone (Respondents) Case Number: 08-04959 Hearino Site: New York. New Yorl^ Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Ellen Oxman hereinafter referred to as "Claimant": Stanley Alter, Esq., Alter & Alter, New York, NY. Respondents Fidelity Broker

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Capital Markets Corporation (Claimant) vs. Timothy J. Cox (Respondent) Case Number: 09-00366 Hearing Site: New Yort< , New York Nature of the Dispute: Memt)ervs. Associated Person. REPRESENTATION OF PARTIES Claimant RBC Capital Markets Corporation, hereinafter referred to as "Claimant": Donald S. Arbour, Esq., Arbour Law Firm. Minneapolis, MN. Respondent Timothy J. Cox, herei

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01310 Carol deMontel (Claimant) vs. UBS Financial Services Inc.. and Jennifer Anne Goodman (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Santa Fe, NM. For Respondents appeared Kathleen S. Adams, Esq., UBS Financial Sen/Ices Inc.. Los Angeles. CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 9, 2009 CASE SUMMARY: Claimant alleged that Respondents failed t

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Isidore Mayrocl^ as General Partner of REI 3. LLC (Claimant) vs. Citicorp Investment Services and Citigroup Global Mari^ets, Inc. (Respondents) Case Number: 08-02809 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Isidore Mayrock as General Partner of REI 3, LLC, hereinafter referred to as "Claimant": David A. Wein

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gail Pasternack (Claimant) vs. UBS Financial Services Inc. (Respondent) Case Number: 08-03293 Hearing Site: New York, New Yorl< Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Gail Pasternacl< . hereinafter referred to as "Claimant": Adam J. Gana, Esq., Napoli Bern Ripi^a LLP, New Yorl^, NY. Respondent UBS Financial Sen/ices Inc.. hereinafter referr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Julius Shulman (Claimant) vs. Victor Labi and Leeb Broi< erage Services, Inc. (Respondents) Case Number: 08-01060 Hearing Site: New Yorl^, New Yori< Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Julius Shulman hereinafter referred to as "Claimant": Stefan Kalina, Esq, Lowenstein Sandler PC, New York, NY. Respondent Victor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) vs. Jesup & Lamont Securities Corp., James F. Dever, Jonathan E. Altman, Kenneth B. Fechtor, and Noel Fleming (Respondents) vs. Albert G. Lowenthal (Third Party Respondent) Case Number: 08-00912 i-learinq Site: Boston, Massachusetts Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Oppenheimer &