Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 08-03550 Merrill Lynch Pierce Fenner & Smith, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Donald Lee Glover Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch Pierce Fenner & Smith, Inc., hereinafter referred to as "Claimant": Jason Murtagh, Esq. and Monica Liftman, Esq., Rubin

Award FINRA Diapute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-03560 Joseph E. Shamy and Greta R. Shamy, JTWROS Names of the Respondents Hearino Site: Boca Raton, Florida Morgan Keegan & Co.. Inc. Homer Vining, IV Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph E. Shamy and Greta R. Shamy, JTWROS, hereinafter collectively referred to as

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04271 Merrill Lynch, Pierce, Fenner & Smith, Inc. (Claimant) vs. Marvin I. Wolfman (Respondent) "REPRESENTATION OF PARTIES: For Claimant appeared Steven G. Leventhal, Esq., of the firm Leventhal and Sliney, LLP. Roslyn, NY. Respondent Marvin I. Wolfman did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 14. 2008 CASE SUMMARY: Claimant asserted the

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald C. Marl< s (Claimant) vs. Dreyfus Service Corporation and Jeffrey Lang (Respondents) Case Number: 06-03133 Hearina Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Ronald C. Marks hereinafter refen-ed to as "Claimant": Walter D'Uil. Esq.. Law Offices of Walter D'UII, New York. NY. Respondent D

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00888 First Allied Securities, Inc. (Claimant) vs. Anthony Charles Troia (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared in-house counsel Marion J. Vomhof. Esq., San Diego, CA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 18. 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Claimant Case Number 08-00097 Estate of Vera Dennington, Norma Axton, Gordon Axton Shepard Smith Respondent Hearina Site: San Francisco, Califomla Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customer vs. Memfc>er REPRESENTATION OF PARTIES Claimants, Estate of Vera Dennington, Norma Axton, Gordon Axton, and Shepard Smith hereinafter

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimants Case Number: 08-00658 Jonatiian N. Home JPH Enterprises, LLC Patricia Home, Individually and as Trustee of the Vance B. Forsgren Family Trust Respondents Hearing Site: Salt Lalte City, Utah Investment Management Corporation Kevin D. Kunz Albert Alvey Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Numt)er 08-00200 Banc of America Investment Services, Inc. ResDondent Hearina Site: Reno, Nevada Timothy N. Hartman Counter-Claimant Timothy N. Hartman Counter-Respondent Banc of America Investment Services, Inc. Third-Partv Claimant Timothy N. Hartman ThIrd-Partv Respondents Steve R. Russell Crystal Masset Bank of America Corporatio

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04984 Alan Schaer and Julie Schaer as Trustees of the Schaer Trust U/A DTD 03/10/2006 ("Claimants") vs. Charles Schwab & Co.. Inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared Mamie C. Lambert, Esq., David P. Meyer & Associates Co., LPA, Columbus, OH. For Respondent appeared Evelyn A. Christensen, Esq.. Keesal, Young and Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATE F

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00442 Rohan Russell ("Claimant") vs. Northgate Securities, Inc. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se. St-Laurent, Quebec. For Respondent appeared Robert Yrshus, V.P.. Northgate Securities, Inc., Houston, TX. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 23. 2009 CASE SUMMARY: Claimant alleged that Respondent owes him money pursuant to a Promissory Note. Claim Data