AWARD FINRA DISPUTE RESOLUTION CASE: 10-04923 Lucian Leonte and Marie Leonte (Claimants) vs. Firstrade Securities Inc. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Madison, CT. For Respondent appeared Peter E. Gschweng, Firstrade Securities Inc., Flushing, NY. NATURE OF DISPUTE: Customers vs. Member DATE FILED: November 2, 2010 CASE SUMMARY: Claimants alleged that Respondent knowingly or negligently sold to them a bond that was

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alex Glushanok (Claimant) v. MetLife Securities, Inc., and Metropolitan Life Insurance Co. (Respondents) Case Number: 10-04655 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Alex Glushanok, hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., Morristown, NJ. Respondents MetLife

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William Scholander LLC and William Scholander (Claimants) vs. Seaboard Securities, inc., Alex Velez, Edward Mostafa, Joseph Oleski, and Tim Robinson (Respondents) Case Number: 10-01263 Hearing Site: New York, New York Nature of the Dispute: Associated Person and Non-Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants William Scholander LLC and William S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06788 Spade Shupui Chan Respondents Hearing Site: San Francisco, California Ameriprise Financial Services, Inc. Johnny Gin Yang Ng Bruce Joseph Bordelon Counter-Claimant Ameriprise Financial Services, Inc. Counter-Respondent Spade Shupui Chan Nature of the Disputes: Associated Person vs. Member and Associated Persons Member vs. As

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01192 Andrew and Blenda Wright as Trustees of the Wright Family Living Tmst Name of Respondents Hearing Site: Los Angeles, Califomia John Marshall Roilance Verkennis Lincoln Financial Advisors Corporation Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Andrew and Bienda Wright as T

Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jefferies & Company, Inc. (Claimant) vs. Cohen Capital Partners II, LP, Cohen Asset Management, LLC, Daniel Cohen and Infinity Equitiesi LLC (Respondents) vs. Jonathan D. Sopher (Third-Party Respondent) Case Number: 08-01050 Hearing Site: New York, New York Nature of the Dispute Initial Claim: Member vs. Customers and Non-Member. Third-Party Claim: Customers vs.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04341 Kathleen S. O'Brien (Claimant) vs. Thomas J. Feely and Edward Jones (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sparta, NJ. For Respondents appeared David W. Schmidt, Esq., Lubiner & Schmidt L.L.C., Cranford, NJ. NATURE OF DISPUTE: Customer vs. Associated Person and Member DATE FILED: September 27, 2010 CASE SUMMARY: Claimant asserted the following causes of action: lack of supervis

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-05295 Morgan Stanley Smith Barney Name of Respondent Hearing Site: Honolulu, Hawaii Carolyn J. Haik Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Bamey, hereinafter referred to as "Claimant": Mattiiew Shurter, Esq., Morgan Stanley Smith Barney, Chicago, Illinois. Respondent Ca

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01085 John A. Mason Name of Respondent Hearing Site: Los Angeles, California UBS Financial Services Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, John A. Mason, hereinafter referred to as "Claimant": John A. Mason, pro se. Santa Monica, Califomia. Respondent, UBS Financial Services Inc., hereinafter r

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03985 Estate of Lula Mae McDonald (Claimant) vs. Edward Jones and Melanie Jo Housden (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Patricia Coy, Esq., Patricia Coy & Associates, LLC, Clifton, TX. For Respondents appeared Shane Duggin, Esq., Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 31, 2010 CASE SUMMARY: Claimant asserted the fol