AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Farideh R. Bagne vs. Names of Respondents JP Morgan Securifies, Inc., JP Morgan Chase Bank, NA. Jacob Joseph Taylor. Jack Joseph Csemits, David Michael Dickman, Michael William Malone, and Michael Riechenbach Case Number 09-00880 Hearing Site: Detroit. Michigan NATURE PF THE PISPUTE Customer vs. Member, Non-Member, and Associated P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-05508 Maria Gritsch Name of Respondent Hearing Site: Phoenix, Arizona Royal Alliance Associates, Inc. Nature of the Dispute: Customer vs. Member The case proceeded under the Majority Public Panel rule/Majority Public Panel. REPRESENTATION OF PARTIES Claimant, Maria Gritsch, hereinafter referred to as "Claimant": Jennifer J. Axel, Esq. and

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05699 Dynamis, Inc. (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: " For Claimant appeared Thomas Tenwilliger, Jr., Monarch Beach, OA. For Respondent appeared Julie A. Kole, Esq., Keesai, Young & Logan, San Francisco, CAand Erin K. Fair, Esq., FMR LLC, Boston, MA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: December 21, 2010 CASE SUMMARY: Claimant alleged tha

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-05394 Ray Sherbert, M.D. Kathryn J. Sherisert Respondent Hearing Site: Columbia, South Carolina Morgan Stanley & Co. Inc. Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Ray Sherbert, M.D. and Kathryn J. Sherbert, hereinafter collectively referred to as "Claimants": Mi

AWARD FINRA DISPUTE RESOLUTION In tine Matter of the Ari^itration BehA^een: Claire F. Cicalese (Claimant) vs. Gregory Thomas Kwasnicki (Respondent) Case Number. 11-00485 SITUS: Newaric, New Jersey NATURE OF DISPUTE: Customer y. Associated Pereon. REPRESENTATION OF PARTIES Claire R. Cicalese, hereinafter refenred to as "Claimanf: Alan Gilmore, Esq., Lynch Osborne Theivakumar, Gilmore & Durst LLC, Princeton, NJ. Gregory Thomas Kwasnicki, hereinafter

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Eugene C. Coiucci (Claimant) vs. HSBC Securities (USA) Inc. (Respondent) Case Number: 10-02791 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Eugene C. Coiucci, hereinafter referred to as "Claimanf: Donald G. McGrath, Esq., Attomey at Law, Williamsville, NY. Respondent HSBC Securities (USA) Inc., hereinafter referre

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Diane M. LeBoeuf (Claimant) vs. Men-ill Lynch, Pierce, Fenner & Smith, Inc., and Phillip J. Weber (Respondents) Case Number: 09-06118 Hearing Site: Providence, Rhode Island consolidated with Diane M. LeBoeuf (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Phillip J. Weber (Respondents) Case Number: 09-06119 Hearing Site: Providence, Rhode Island con

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Names of Claimants Joseph and Fionnvala Stockton vs. Case Number: 09-06348 Hearing Site: Dallas, Texas Names of Respondents Fidelity Brokerage Services, LLC and Thomas Alexander Scarbrough NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Joseph and Fionnvala Stockton ("Claimants") were represented by Kelly L. Mc

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Name of Claimant Frances Lebrasca vs. Case Number: 09-03662 Hearing Site: Chicago, Illinois Names of Respondents Wachovia Securities, LLC, Barbara Regnitz, and Muneera Dawood NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Frances Lebrasca ("Claimant") was represented by Sandor Grossman, Esq.. Law Office of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-03094 Rosen Capital Partners LP Rosen Capital Institutional LP Name of Respondent Hearing Site: Los Angeles, Caiifomia Merrill Lynch Professional Clearing Corp. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Rosen Capital Partners LP ("Rosen Partners") and Rosen Capital Institutional LP ("Rosen Institutio