Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alfred T. Peng and Diana Peng (Claimants) v. David L. Gabay, Pinnacle Planning Group, Keyport Financial Services Corp.. Keyport Life Insurance/Sun Life Insurance, Sun Life Financial Distributors, Inc., Lincoln Financial Group. Lincoln Financial Distributors. Inc.. Mainstay Funds/New York Life Trust, Mutual Service Corporation, Royal Alliance Associates Inc., The Best of America, First

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02484 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Charlotte, North Carolina Steven T. Day Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services. Inc. ("BOA"), hereinafter referred to as "Claimant": David H. Smith, Esq. and Diane C. Fischer

AWARD FINRA Dispute Resolution In tile Matter of ttie Arbitration Between: Name of Claimant Maria 8. Alcoreza vs. Case Number: 07-03578 Hearing Site: Southfield, Mictiigan Name of Respondent Leonard Financial Corporation d/b/a Leonard & Company Customer vs. Member ITATION OF Maria B. Alcoreza ("Claimant") was represented by Bruce D. Oakes, Esq., Simmons Cooper LLC, East Alton, Illinois. Leonard Financial Corporation d/b/a Leonard

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Walter A. Flick & Judith R. Flicl^, JTWROS vs. Case Number: 07-03128 Hearing Site: Cincinnati, Ohio Names of Respondents Kovack Securities, Inc. and Russell Dean Stansell NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Walter A. Flick & Judith R. Flick, JTWROS ("Claimants") were represented by David S

AWARD FiNFiA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jerome Albert Trust UAD 10/23/1986 vs. CaseNun^ber: 08-00863 IHearing Site: Chicago, Illinois Name of Respondent E*Trade Securities LLC Customer vs. Member REPRESENTATION OF PARTIES Jerome Albert Trust UAD10/23/1986 ("Claimant") was represented by John J. Muldoon, III. Esq., Muldoon & Muldoon, PC, Chicago, Illinois, as of on or about June 30, 2008.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-01014 Banc of America Investment Services, Inc. Respondent Hearing Site: Houston, Texas David S. Coffee Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane and Fischer, Ltd, Chicago, Illinois. Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael S. O'Keefe (Claimant) vs. Ina R. Dainis and Morgan Stanley & Co., Inc. (Respondents) Case Number: 08-00950 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Customer and Member. REPRESENTATION OF PARTIES Claimant Michael S. O'Keefe hereinafter referred to as "Claimant": Christopher G. Massey, Esq., Bressler, Amery & Ross, P.C. Res

Award FINRA Dispute Resolution In the Matter of the Arbttration Between: Claimant Alvin M. Kramer TTEE Susannah Kramer TTEE FBO The Kramer Family Tmst Dated 05/25/1977 Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Bamey, Inc. and Jack B. Grubman Case Number 04-08019 Hearing Site: Los Angeles, Califomia Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Al

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-00893 Wachovia Securities, LLC Respondent Hearing Site: Phoenix, Arizona John S. Kuehl Counter-Claimant John S. Kuehl Counter-Respondent Wachovia Securities, LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Wachovia Securities, LLC CWachovia"), hereinafter refen^

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 07-02880 Michael Cooper Names of the Respondents Hearino Site: Oriando. Florida CitlStreet Advisors LLC Michael Shuckerow Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Michael Cooper, hereinafter refened to as "Claimant", appeared pro se. For CitlStreet Advisors LLC ("CitlStreet")