Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04152 Patricia M. Flanagan Name of the Respondent Hearing Site: Columbia, South Carolina UBS Financial Services Inc. Nature of the Dispute: Customer vs. Memt>er. REPRESENTATION OF PARTIES For Patricia M. Flanagan, hereinafter referred to as "Claimant": Jacob H. Zamansky, Esq., Zamansky & Associates, LLC, New Yoric, New York. For U

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number. 08-04168 Amar Paul Singh Sawhney Names of the Respondents Hearing Site: New Orieans, Louisiana TD Ameritrade, Inc. Brian Furrow Frank Sullivan Nature of the Dispute: Customer vs. Memt)er and Associated Person. REPRESENTATION OF PARTIES Amar Paul Singh Sawhney. hereinafter referred to as "Claimant", appeared pro se. For TD Amerit

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Names of the Claimant Case Number: 08-04178 David Schwinger Name of the Respondent Hearino Site: Washington. D.C. Fidelity Brokerage Sen/ices LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES David Schwinger, hereinafter referred to as "Claimant", appeared pro se. For Fidelity Brokerage Sen/Ices LLC, hereinafter referred to as "Respondenf: Angela

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02483 Holly Bell Name of the Respondent Hearing Site: Nashville, Tennessee Fifth Third Bank Nature of the Dispute: Associated Person v. Non-Member REPRESENTATION OF PARTIES For Holly Bell, hereinafter referred to as "Claimant": Trippe S. Fried, Esq., Nashville, Tennessee. For Fifth TTiird Bank, hereinafter referred to as "Responde

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Case Number: 09-00423 Hearing Site: Columbus, Ohio Name of Respondent Raymond J. Jackson NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Claimant" or "Merrill Lynch") was represented by Christopher C. Young, Esq., Rubin Fortu

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Art)itration Between: Names of Claimants Donald Fangman, MD and FRA Mauro, LTD. vs. Case Number 09-01093 Hearing Site: Omaha, Nebraska Names of Respondents RBC Dain Rauscher, Inc. and Victor Vardell Oelsen Customers vs. Memt>er and Associated Person Donald Fangman, MD ("Dr. Fangman") and FRA Mauro, LTD. ("FML"), hereinafter collecth/ely referred to as "Claimants," were rep

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01419 Mary K. Gordon (Claimant) vs. Jeffrey L. Endicott. Compliance Analyst AIG Advisors, Retirement (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Camdenton. MO. For Respondent appeared Amy B. Boyea, Esq.. Edison, McDowell & Hetherington, LLP. Arlington, TX. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: March 3, 2009 CASE SUMMARY: Claimant alleged damages as a result of Re

stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Banc of America investment Services, Inc. (Claimant) vs. Bernard J. Cerrone (Respondent) Case Number 09-01681 Hearino Site: Augusta, Maine Nature of the Dispute: Memt>er vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America investment Services, inc., hereinafter referred to as "Ciaimar^: Diane C. Fischer, Esq., Kane & Fischer, LTD., Chicago, IL.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Merlin Securities, LLC (Claimant) vs. Traunche Partners, LLC. Traunche Capital Advisors, LLC, Traunche Global Micro Fund, LP, and Evan A. Vaughan (Respondents) Case Number: 09-01805 Hearing Site: New York. New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant Merlin Securities, LLC, hereinafter referred to as "Claimant": Jonathan W. Hughes, Esq

Award FINRA Dispute ResohiUon In the Matter of the Arbibatton Between: Name of ttie Claimant Case Number 09-04235 Damon Brent Dozler Name of the Respondent Hearing Site: Los Angeles, Califomia Mark Hennan Rhynes Nature of the Dispute: Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimant Damon Brent Dozler hereinafter referred to as Claimant": pro se, Los Angeles, Califomia Respondent Marie Hennan Rhynes hereinafter r