Award FINRA Dlsputo Resolution in the Matter of the Arbitration Between: Name of tt^ Claimante Case Number. 08-04600 Susan M. Regan Susan M. Regan Trust Name of ttie Respondente Hearing Site: Denver, Colorado Multi-Financial Securities Corporation Scott Patricia Kozak Nature of the Dispute: Customere vs. Memt>er and Associated Pereon REPRESENTATION OF PARTIES Claimante. Susan M. Regan ("S. Regan") and Susan M. Regan Trust (Ihe Trusf^

Award FINRA Dtopute RssohJtton In the Matter of the Aibttratton Between: Ctalmant Case Number 08-03444 Edward D. Jones & Co., L.P. ResDondente Hearing Site: Seattto, Washington Morgan Stenley & Co.. Incorporated Bruce B. Trang Nature of the Dispute: Member vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Edward D. Jones & Co.. L.P. hereinafter referred to as "Edward Jones or Claimant": Christopher A. Pickett, Esq., Gokl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-04981 Cario A. Carrion ResDonder^ts Hearing Site: Los Armies, Califbmia Western international Securities, Inc. Donald Michael Bizub Jon Noel Hogen Craig Robert Watanabe Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Cario A. Canion, hereinafter referred to as "Claimant": Cario

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Elva Vasquez vs. Case Number: 08-04508 Hearing Site: Houston, Texas Names of Respondents Chase Investment Services Corp., Jonathan Mark Cromwell, and Thomas Lyonel Davila, II NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Elva Vasquez ("Claimanr) was represented by Randall A. Pulman, Esq., Pulman,

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Banc of America Investment Services, Inc. vs. Case Number: 08-02880 Hearing Site: Oldahoma City, Oklahoma Name of Resoondent/Counter-Claimant Steven E. Becker NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant" or "BAI") was represented by Dia

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eugene C. Ross (Claimant) vs. Bear Stearns & Co., Inc. (Respondent) Case Number: 06-02076 Hearing Site: Nevv Yorl^, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Eugene C. Ross hereinafter referred to as "Claimant appeared pro se. Previously represented by Kim L. Michael, Esq., Wechsler & Cohen, LLP, New York, NY and Jonathan Be

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Douglas A. Lee (Claimant) vs. Trinity Trading Corporation and James Bovino (Respondents) Case Number: 09-00886 SITUS: New York, New York. NATURE OF DISPUTE: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Douglas A. Lee hereinafter referred to as "Claimant": Anthony Carabba, Jr., Esq., Carabba Locke LLP, New York, NY. Respondents did not enter a

AWARD FINRA DISPUTE RESOLUTION CASE; 09-02096 Oppenheimer & Co., inc. (Clainfiant) vs. Gregory W. Eknoyan (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared John T. McGuire, Esq., Oppenheimer & Co., Inc., New Yorl^, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 14. 2009 CASE SUMMARY: Claimant asserted the following cause of action: amounts owed pursuant to a Prom

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jiann Ming Doong and Angela Wang (Claimants) vs. Morgan Stanley Dean Witter, Inc. and Thomas Tishman (Respondents) Case Number: 07-01692 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jlann Ming Doong ("Doong") and Angela Wang ("Wang"), hereinafter collectively referred to as "Claimants": Ri

Amended Award FINRA Dispute Resolution In the Matter of the Arbrtratlon Between: Names of the Claimanta Case Number. 08-03716 Joseph P. BJllera JOGLO Associates, LP Name of the Respondent Hearing Stte: Boca Raton, Florida UBS Financial Services, Inc. Nature of the Dispute: Customer vs. Memt)er Put)lic Art)ltrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Joseph P. Blllera and JOGLO Associates. LP, hereinafter coiiec