AWARD FINRA DISPUTE RESOLUTION CASE: 09-06726 Royal Alliance Associates, Inc. (Claimant) vs. Sharon D. Hubbemian (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Barry R. Temkin, Esq., Mound, Cotton, Wollan & Greengrass, NewYori^, NY. Respondent appeared pro se, Perth Amboy, NJ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 27. 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of contra

Award FiNRA Dispute Resolution In the Matter of the Ari3itration Between: Merrill Lynch, Pierce, Fenner & Smith incorporated f/k/a Banc of America Investment Services, Inc. (Claimant) vs. Steven M. Lav4on (Respondent) Case Number: 09-06537 SITUS: Providence, Rhode Island NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: Merrill Lynch, Pierce, Fenner & Smith, Incorporated f/k/a Banc of America Investment Services, Inc., herei

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06140 Citigroup Global Maricets, Inc. (Claimant) vs. Janice C. Koch (Respondent) REPRESENTATION OF PARTIES: "~ For Claimant appeared Chad Gottlieb, Esq., Alonso, Andalkar & Kahn, P.C., New Yori(, NY. Respondent appeared pro se, Syl(esville, MD. NATURE OF DISPUTE: Member v. Customer ~ DATE FILED: October 26, 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract, mist

Award FINRA Diapute Resolution In the Matter of the Ariaitration Between: Daniel R. Klein (Claimant) vs. Ameriprise Financial Services, inc. (Respondent) Case Number. 09-04785 Hearino Site: New Yori^. New YoriQ Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Daniel R. Klein hereinafter referred to as "Claimant": Christine A. Palmieri, Esq., Liddle & Robinson, L.L.P., New Yoric, NY. Respondent Ameriprise Financi

Award FINRA Diapute Resolution In the Matter of the Arbitration Between: Martha' Brancato and Vincent Brancato (Claimants) v. E^Trade Securities LLC (Respondent) Case Number: 09-04539 Hearing Site: New York. New Yoric Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Ciaimante Martha Brancato ("M. Brancato") and Vincent Brancato CV. Brancato"), hereinafter collectively referred to as "Ciaimante: V. Brancato, New Hyde Park, NY.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00181 Ronald M. and Gwen L. IHintze, TTEES FBO Hintze Family Revocable Living Trust (Claimant) vs. TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Ronald M. IHintze, pro se, Newport News, VA. For Respondent appeared Hollie M. Mason, Esq., TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED; January 14. 2010 CASE SUMMARY: Claimant asserted the follow

stiputated Award FINRA Dtaputo Reaolutlon In the Matter of the Arisitration Between: Names of the Ciaimante Case Number. 09-03986 Meryl Dell end Steven Dell Names of the Resoondente Hearing Site: Fort L^uderdata, Ftorida Charies Schwab & Co.. Inc. Jenny M. Rothsteln Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Meryl Dell and Steven Dell, hereinafter coltactively referred to aa '^Ctaimanto":

Award FINRA Diaputo Reaolutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-04438 Hossein Nilipour Names of the Resoondente Hearing Site: Birmingham, AL TD Ameritrade, Inc. Jim Douglass Nature of the Dispute: Customer vs. Member and Associated Person RgPRgSEMTATIOM OF PABTIgS For Hossein Nilipour, hereinafter referred to as "Ctalmant": Stephen D. Heninger, Esq., Heninger Ganison Davis, LLC, Birmingham, AL.

Stipulated Award FINRA Diaputo Reaolutlon In ttie Matter of the Arbttration Between: Name of the Ctalmant Case Number: 09-03941 J.P. Tumer & Company, L.L.C. Name of the Respondent Hearing Stte: Tampa, Florida Marie Francn Graham Nature of the Dtapute: Member vs. Associated Person. REPRESENTATION OF PARTIES For J.P. Turner & Company, L.L.C, hereinafter referred to as "Claimant": Scott Hoicomb, Esq. and Eric J. Dec, Esq., J.P. Tumer & Company,

Award FINRA Dtaputo Reaolutlon In the Matter of the Arisitratton Between: Nqme of the Claimant Case Number: 09-00530 Raymond James Financtal Services, inc. Names of ttie Respondente Hearing Site: Oriando, FL Donald J. Reilly Helen A. Reilly in the Matter of the Arbitratton Between: Names of the Ciaimante Case Number 09-00579 Donald J. Reilly Heten A. Reilly Name of tiie Respondent Hearing Site: Oriando, FL Raymond James Fi