Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wilfred J. UndenA/ood (Claimant) vs. Richard Allan Brownstein and Sll Investments. Inc. (Respondents) Case Number: 08-02659 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Wilfred J. Undenn/ood hereinafter referred to as "Claimant" appeared pro se. Respondents Richard Allan Brownstein ("Brownst

Award FINRA Dispute Resolution In tl^e Matter of tlie Arbitration Between: Bernard S. Cohen (Claimant) vs. Estate of Joseph Moreno (Respondent) Case Number: 08-03853 Hearing Site: Newark. New Jersey Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES Claimant Bernard S. Cohen hereinafter referred to as "Claimant": David J. Butler. Esq., Bressler, Amery & Ross, Florham Park, NJ. Respondent Estate of Joseph Moreno hereinaft

stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: IHarold Kozupsky and Jeanette Kozupsky, Individually, Jointly and in their IRA and Profit Sharing Plans (Claimants) vs. RBC Dain Raucher, Ronald Slevin, and George Glackman (Respondents) Case Number: 08-04585 Hearing Site: New Yori^, New Yori^ Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Harold Kozupsky ("H. K

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Joseph A. Petrone (Claimant) vs. Investacorp, Inc. and Ladenburg Thaimann Financial Services, LLC (Respondents) Case Number: 07-03516 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Joseph A. Petrone hereinafter refen-ed to as "Claimant": Linda M. Deoia, Esq., Reynolds. MotI, and Shenwood, PLLP, Helena. M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 08-03550 Merrill Lynch Pierce Fenner & Smith, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Donald Lee Glover Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch Pierce Fenner & Smith, Inc., hereinafter referred to as "Claimant": Jason Murtagh, Esq. and Monica Liftman, Esq., Rubin

Award FINRA Diapute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-03560 Joseph E. Shamy and Greta R. Shamy, JTWROS Names of the Respondents Hearino Site: Boca Raton, Florida Morgan Keegan & Co.. Inc. Homer Vining, IV Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph E. Shamy and Greta R. Shamy, JTWROS, hereinafter collectively referred to as

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04271 Merrill Lynch, Pierce, Fenner & Smith, Inc. (Claimant) vs. Marvin I. Wolfman (Respondent) "REPRESENTATION OF PARTIES: For Claimant appeared Steven G. Leventhal, Esq., of the firm Leventhal and Sliney, LLP. Roslyn, NY. Respondent Marvin I. Wolfman did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 14. 2008 CASE SUMMARY: Claimant asserted the

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald C. Marl< s (Claimant) vs. Dreyfus Service Corporation and Jeffrey Lang (Respondents) Case Number: 06-03133 Hearina Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Ronald C. Marks hereinafter refen-ed to as "Claimant": Walter D'Uil. Esq.. Law Offices of Walter D'UII, New York. NY. Respondent D

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00888 First Allied Securities, Inc. (Claimant) vs. Anthony Charles Troia (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared in-house counsel Marion J. Vomhof. Esq., San Diego, CA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 18. 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Claimant Case Number 08-00097 Estate of Vera Dennington, Norma Axton, Gordon Axton Shepard Smith Respondent Hearina Site: San Francisco, Califomla Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customer vs. Memfc>er REPRESENTATION OF PARTIES Claimants, Estate of Vera Dennington, Norma Axton, Gordon Axton, and Shepard Smith hereinafter