Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number 09-00209 Elliott Sklar and Naomi Skiar Elliott Sklar and Naomi Sklar Tmst Name of the Respondent: Hearino Site: Los Angeles, Califbmia TD Ameritrade, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants. Elliott Sklar and Naomi Sklar, and the Elliott and Naomi Sklar Trust, hereinafter collectively ref

STIPULATED AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Citigroup Global Markets, Inc. vs. Name of Respondent/Counter-Claimant M. Tracy Baricer Case Number: 07-03076 Hearing Site: Cincinnati, Ohio NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant" or "Citigroup") was represented by Diane C. Fischer, Esq.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Grover Stults (Claimant) vs. Edward Harold Oudenne and LPL Financial Corporation (Respondents) Case Number: 08-03510 Hearino Site: Philadelphia. PA Nature of the Dispute: Associated Person vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Grover Stults "Claimant": Robert M. Fellheimer, Esq., Law Office of Robert M. Fellheimer, P.C., Abington. PA. Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Sprei (Claimant) vs. TD Ameritrade, Inc. (Respondent) Case Number: 09-00766 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Michael Sprei hereinafter referred to as "Claimant" appeared pro se. Respondent TD Ameritrade. Inc.. hereinafter referred to as "Respondent": James J. Vihstadt, Esq., TD Ameritrade, Inc.

Award FINRA Dispute Resolution in the Matter of the Art)itratlon Between: ^apie of the Claimant C^e Number: 08-03840 Robert G. Carlton, Jr. Residuary Trust uAv of Robert G. Carlton, Jr. DTD 2/10/76, Burleigh T. Kay, Jr., Tmstee Naryies of the Resoondents Hearing Site: Richmond, Virginia UBS Financial Sen^ices Inc. WlUiamB. Rector 111 Nature of the Dispute: Customer vs. Memtier and Associated Person. REPRESENTATION OF PARTIES For Rober

Award FINRA Dtepute Resolution In the Matter of the Arbitration Between: Names of the Claimante Case Number 07-03102 Felipe A. Pazos Alberto R. Roque Patricic J, Grattan Nacjies of the Respondents Hearing Site: Miami. Florida RBC Dain Rauscher, Inc. RBC Capital Maricete Corporation Nature of the Dispute: Associated Person vs. Member REPRESENTATtON OF PARTIES For Felipe A. Pazos. ("Pazos"), Alberto R. Roque ("Roque") and Patrick Gratta

Stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00363 Robert J. Kraus Names of the Respondertts Hearing Sitei Boca Raton, Florida SunTrust Investment Services, Inc. Christopher J. Fluehr Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert J. Kraus, hereinafter referred to as "Claimanf: Ryon M. McCabe, Esq.. McCabe Ra

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00578 Robert Barnhill, IRA (Claimant) vs. Morgan Keegan and Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap & Associates, LLC, Atlanta, GA. For Respondent appeared John David Thomas, Esq., Bass, Berry & Sims PLC, Nashville, TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 3. 2009 CASE SUMMARY: Claimant asserted the followi

Award Data Award: $13,442.09 Interest: at the rate of 3% per annum from March 3, 2008 to the date of collection Costs: (Collection Fees) $4,032.62 Costs: $1,050.00 AWARD: The undersigned arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant the sum of $13,442.09. 2) Respondent is liable for and shall pay to Claimant interest at the

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02089 Oppenheimer& Co., Inc. (Claimant) vs. David L. Armstrong (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared John T. McGuire, Esq., Oppenheimer & Co., Inc., New York, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 14, 2009 CASE SUMMARY: Claimant asserted the following cause of action: overpayment of commissions. Cla