AWARD FiNRA DISPUTE RESOLUTION CASE: 09-06997 Paul L. Mechetti (IRA); Paul L. Mechetti, TTEE; Paul L. and Ariene A. MechettI Family Trust U/A 9/10/01; Ariene A. Mechetti, TTEE; Paul L. and Ariene A. Mechetti Family Trust U/A 9/10/01 (Claimante) vs. Banc of America investment Services, inc., and Jennifer Anne Johnston (Respondents) REPRESENTATION OF PARTIES: For Claimante appeared Paul L. Mechetti, San Rafael, CA. For Respondents appeared Eric Giassman, E

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Jon Dame and Nancy Powiowsky (Claimants) vs, J.B. I\1axweii and Oppenheimer & Co., Inc. (Respondents) Case Number: 09-02156 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimante Jon Dame ("Dame") and Nancy Powiowsky ("Powiowsky"), hereinafter coiiectiveiy referred to as "Claimante": Sean T. Cama

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Morgan Stanley & Co. incorporated (Ciaimant) vs. Eric Steven Butler and Julian Tzoiov (Respondents) Case Number 08-03030 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Ciaimant Morgan Stanley & Co. incorporated ("Claimant"): Theodore R. Snyder, Esq., Krebsbach & Snyder, P.C.. New York. NY. Respondent Eric Stev

Award FINi^ Disputa Resolution In the Matter of the Arbitration Between: Michael E. Caradimitropouio (Claimant) vs. GunnAllen Financiai, inc, The Concord Equity Group, L.L.C.. and Anthony Tricarico (Respondents) Case Number 08-01950 Hearing Site: New Yoric, New Yortc Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Ciaimant Michael E. Caradimitropouio hereinafter referred to as "Claimant": Nicholas J. Guiii

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dorene Dom (Claimant) vs. Ameriprlse Financial Services, Inc. (Respondent) Case Number: 08-01356 Hearing Site: Albany, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Dorene Dorn hereinafter referred to as "Claimant" appeared pro se. Previously represented by Stuart E. Finer, Esq., Finer & Gimzzi-Mosca, Utica. NY. Respondent Ameri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David J. Geierman (Claimant) vs. Fidelity Investments, inc., and Fidelity Breicerege Services, LLC (Respondents) Case Number 09-03788 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Non-Member and Member. REPRESENTATION OF PARTIES Ciaimant David J. Gelemian hereinafter referred to as "Claimant": David A. Conti, Esq., Blaise J. Godk>out & Associates, Bosto

Award HNRA Dtepute Reeolution In the Matter of the Aridttration Bebmen: Ctoknante: Case Number 00-00088 Jeenetie Artoreas JodAndreaa Respondente: Hearing Site: Los Angetes. Cdifbmta Charies Schwab & Co., Inc. Wiiitam Brandon Reed Natore of the Dtapute: Customere vs. Member and Assoc'wted Person REPRESENTATION OF PARTIES Claknanto, Jeanette Andreas and Joel Andreas, hereinafter refened to collectively ac XIaimante': James A Sigter, Esq

Awvnd FINRA Dteputo Reeolution to ttie Mattor of ttie ArUtiaflon Between: CteknantJCountar-RaaDondent Casettonbar 09-02459 TTiomaaMaher ResDondenta/CountBT'Ctehnante HesrinoSlto: Portland, Oregon PadffcWsst Securities, Ina Stsphen Henry Graef PhinpAnttionyPlzeto Shanon Lane Ford Marie Thomas McCtoakey Nature of the DIspules: Customer vs. Member and Aasocteted Persons Member and Associatsd Persons V. Customer REPReSEMTATlON OF

Award FINRA Dtepute Reeolution In the Matter of the Artsitration Between: Claimante Case Number 09-06977 JoeephReddy Joseph Reddy M.D., Ina Respondent Hear^ia Site: San Diego, Celifomia William W.Atexander Natore of the Dispute: Customers vs. Associated Person REPHP^ENTATipN QF PARTIES Claknanto, Joseph Reddy and Joseph Reddy M.D., Inc., hereinafter referred to collectively as 'X^teknante': John W. Davis, Esq., Law OfRoe of John W. Davis,

Award FINRA Dteputo Reeolution In ttie Matter of ttie Arialtration Between: Clffimante Case Number 09-03329 Samir Chaman Maria Imekia Gualaido RasDondent Hearino Site: Denver. Cotorado Merriii Lynch, Pierce, Fenner & Smitti Incorporated Natore of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimante, Samir Chaman and IMaria ImeMa Guajardo, hereinafter refanred to collectively aa "Claimante': Gary J. Ceriani, Esq. and Patri