AWARD FINRA DISPUTE RESOLUTION CASE: 09-01549 Lincoln Investment Planning, Inc. (Claimant) vs. Ronnie Ben-Aron (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Joshua S. Ganz, Esq., Timoney Knox, LLP, Fort Washington. PA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED; March 20. 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of the Step Draw Pro

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02309 Anthony R. Bonello (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Largo, FL. For Respondent appeared John Bersin, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 24. 2009 CASE SUMMARY: Claimant alleged that he was wronged by Respondent when they sold holdings in his account to cover a deficit.

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02345 Robert A. Bolebruch (Claimant) vs. Sandgrain Securities, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Garden City. NY. For Respondent appeared Peter D. Grassel. Sandgrain Securities, Inc., Garden City, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: April 24, 2009 CASE SUMMARY: Claimant alleged that Respondent inappropriately charged him the entire amount for his r

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02395 Audrey Wolfe (Claimant) vs. Edward D. Jones & Co., L.P., and Joseph IHeadlee, Jr. (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Alice L. Stewart, Esq., Securities Arbitration Practicum, Duquesne University School of Law, Pittsburgh, PA. For Respondents appeared Dennis J. Caprigiione, Esq., Edward D. Jones & Co., L.P., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Per

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: John T. Costa, IRA and Henrietta Costa, IRA (Claimants) vs. Morgan Stanley & Co., Inc., and Ryan Tintera (Respondents) Case Number: 08-03431 Hearing Site: Newark. New Jersey Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants John T. Costa, IRA ("J. Costa") and Henrietta Costa, IRA ("H. Costa"), hereinafter collectively referred

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Oppenheimer & Co., Inc., (Claimant) vs. Peter Balint (Respondent) Case Number: 08-04684 Hearing Site: New Yori< , New Yort^ NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": John McGuire, Esq., Oppenheimer & Co., Inc., New Yort^, NY. Respondent Peter Balint did not enter an appearance

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John Deakin (Claimant) v. J.P. Turner & Company, L.L.C., Reagan Financial Group, James R. Pecoraco, and John L. Parmigiani (Respondents) Case Number: 08-00752 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Associated Persons, and Non-Member. Claimant John Deakin hereinafter referred to as "Claimant": Nicholas J. Guiliano, Esq., The Guiliano L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Leslie Cox-Colon (Claimant) vs. Citigroup Global Markets, Inc. f/k/a Solomon Smith Barney, Inc., and Loretta Chiofblo (Respondents) vs. Juan Colon-Collazo (Third Party Respondent) Case Number: 07-00945 Hearing Site: New York, New Yori< Nature of the Dispute: Initial claim: Customer vs. Member and Associated Person. Third Party claim: Member and Associated Person vs. Associated Perso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04361 David Durdon Name of the Respondent Hearing Site: Baltimore, Maryland Scottrade, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For David Durdon, hereinafter refenred to as "Claimanf: invin G. Stein, Esq., Investors Recovery Service, Novate, Califomia. For Scottrade, Inc., hereinafter referred to

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04616 Ravindra Sheth Name of the ResDondent Hearing Site: Atlanta. Georgia E^Trade Securities LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Claimant Ravindra Sheth ("Sheth"): Emory A. Wyant, Jr., Strong, Stevens & Wyant, Playmouth Meeting, Pennsylvania until on or about March 27, 2009; thereafter. C