Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-06358 Robert and Virginia Russiello, JTWROS Virginia Russiello Rollover IRA vs. Respondent Hearing Site: New York, New York Fidelity Brokerage Sen/ices LLC Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Robert and Virginia Russiello, JTWROS ("Robert and Virginia Russiello"), and Virginia Russiello

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Confidential Planning Corporation Confidential Planning I Eric Krouse Daniel Mody Pinnacle Investments, LLC vs. Respondents American Portfolios Financial Services Alan Barham Confidential Brokerage Services, Inc. George Ray Haskins Louis Ronald Panigrosso Rudolph Ronald Panigrosso Third Party Respondent United Mutual Insur

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Mark Oslick Case Number: 10-04264 vs. Respondents Stephen Cordasco RBC Capital Markets Corporation David Zane Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Mark Oslick, hereinafter referred to as "Claimant": Daniel M. Hanifin, Esq., Unruh, T

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Morgan Stanley Smith Barney Case Number: 10-04845 vs. Respondent Kevin E. Kelly Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley Smith Barney, hereinafter referred to as "Claimant": Archie Capinguian, Esq., Lubiner & Schmidt, L.L.C., Cranford, NJ. Respon

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Gerard Bianco and Gabriella Bianco (Claimants) vs. GunnAllen Financial, Inc. and James Rapuano (Respondents) Case Number: 11-00773 SITUS: Hartford, Connecticut NATURE OF DISPUTE: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Gerard Bianco and Gabriella Bianco, hereinafter collectively referred to as "Claimants" appeared pro se. R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant UBS Financial Services Inc. Case Number: 10-04150 vs. Respondent Steven Fried Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant UBS Financial Services Inc., hereinafter referred to as "Claimant": Joshua S. Bratspies, Esq., Riker Danzig Scherer Hyland & Perretti, Morristown,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01114 Foster Dove, Ellis Grey Dove and Bill Manuel vs. Morgan Keegan & Company, inc. REPRESENTATION OF PARTIES: For Foster Dove, Ellis Grey Dove and Bill Manuel, hereinafter collectively referred to as "Claimants": Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, Alabama. For Morgan Keegan & Company, inc., hereinafter referred to as "Respondent": Bradley B. Rounsaville, Esq.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant JoAnne Matina Case Number: 09-05637 vs. Respondents Joseph P. Matina Merrill Lynch, Pierce, Fenner and Smith, Inc. Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant JoAnne Matina, hereinafter referred to as "Claimant": Devanshu L. Modi, Esq., Lyon Glassman L

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Claimants Larry and Barbara Friedman Case Number: 10-03776 vs. Respondent Oppenheimer & Co., Inc. Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Larry and Barbara Friedman, hereinafter referred to as "Claimants": David E. Robbins, Esq., Kaufmann Gildin Robbins & Oppenheim LLP, New

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01886 Norma D. Guest (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Shea O'Brien Hicks, Esq., Morgan Keegan & Company, Inc., Memphis, TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 9, 2011 CASE SUMMARY: Claimant asserted t