AWARD FINRA DISPUTE RESOLUTION CASE: 10-00035 Robert B. Turaic (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sacramento, CA. For Respondent appeared Meredith A. Felde. Esq.. E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. iVIember DATE FILED: December 31. 2009 CASE SUMMARY: Claimant asserted the following cause of action: improper liquidation of shares. The cause

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Abraham Koch, Individually and as Trustee of the Abraham Koch Trust U/A/D 12/27/90, and Cecelia A. Koch, Individually and as Trustee of the Cecelia A. Koch Trust U/A/D 12/27/90 (Claimants) vs. Smith Bamey a division of Citigroup Global Maricets, Inc., Douglas Kobal(, and Arthur Weissman (Respondents) Case Number 09-02765 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00071 Maurice Musry (Claimant) vs. UBS Financial Services Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Long Branch, NJ. For Respondent appeared Payne L. Templeton. Esq., UBS Financial Sen/ices Inc., Los Angeles, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 4, 2010 CASE SUMMARY: Claimant asserted the following cause of action: illiquidity of investment. The caus

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00300 Charles Zachary Bomstein (Claimant) vs. Judith Connolly (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, New York, NY. For Respondent appeared David E. Bamberger, Esq., Brickman & Bamberger, Esqs., New York, NY. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: January 20.2010 CASE SUMMARY: Claimant asserted the following causes of action: excessive commissions, manipulatio

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06313 James D. and Janet D. Cary (Claimants) vs. Fidelity Broicerages Sen/ices, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimante appeared James D. Cary. Montrose. CO. For Respondent appeared Paula McManus, Esq., FMR LLC. Boston, MA. NATURE OF DISPUTE: Customers v. Member DATE FILED: November 2. 2009 CASE SUMMARY: Claimante allege that Respondent disregarded the rules that govern trading and liquid

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph A. Sproviero (Claimant) v. Kevin P. Fay and Oppenheimer & Co., inc. (Respondents) Case Number: 09-02279 Hearino Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Joseph A. Sproviero hereinafter refened to as "Claimant": David Liebrader, Esq., Law OfFlce of David Liebrader, Inc., Las Vegas, NV.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Daniel Adam Hanover (Claimant) vs. Cowen and Company, LLC (Respondent) Case Number: 09-04153 Hearino Site: Boston, Massachusette Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Daniel Adam Hanover hereinafter referred to as "Claimant": Laurie Alexander- Krom, Esq.. Davis, Malm & D'Agostine. P.C, Boston. MA. Respondent Cowen and Company, LL

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph R. Patane (Claimant) vs. Charles Schwab & Co.. Inc. (Respondent) Case Number: 09-03079 Hearing Site: Newaric, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Joseph R. Patene hereinafter referred to as "Claimanf: Thomas A. Gentile, Esq.. Lampf. Lipkind, Prupis & Petigrow, West Orange. NJ. Respondent Charies Schwab & Co.. Inc.. her

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01985 Anthony Gerard Manaia (Claimant) vs. United Securities Alliance, Inc., and Royal Alliance Associates, Inc. (Respondente) REPRESENTATION OF PARTIES: Claimant appeared pro se, Lake Angelus. Mi. For Respondent United Securities Alliance, Inc., appeared Michael Jones, United Securities Alliance, Inc., Charlotte. NC. For Respondent Royal Alliance Associates, Inc.. appeared Ambreen A. Delawalla, Esq., Alston &

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00742 Larry J. Arrigoni (Claimant) vs. Wachovia Securities LLC, Wells Fargo Advisors, LLC. and Mark V. Fautech (Respondente) REPRESENTATION OF PARTIES: For Claimant appeared Amy J. ihian. Esq., Brioi & Associates. PLLC, Minneapolis, MN. For Respondente appeared Alan Rafterman. Esq., Wells Fargo Advisors, LLC. St. Louis, MO. NATURE OF DISPUTE: Customer v. Members and Associated Person DATE FILED: February 11. 2010