MODIFIED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Richard R. Arispe, Jimmy A. Burke, Peggy A. Burke, Todd B. Burke, Jose J. Collado, Adela Christine Collado, Charles K. Colvin, C&C Erection, Inc., Nancy Gordon, Susan W. Hackney, Don H. Jones, Suzann 8. Jones, William A. Rhodes, Jr., Dawn Schuessler, Kenneth W. Sears, Kenneth W. Sears, Jr., Reine M. Sears, Daniel J. Sears, Kenneth W. Sears, III, Judy

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04560 Daniel L. Gorman Names of the Respondents Hearing Site: Boca Raton, Florida Bear Stearns & Co., Inc. J.P. Morgan Securities, Inc., as successor to Bear Stearns & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Daniel L. Gorman, hereinafter referred to as "Claimant": John G. Rich, Esq. and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04530 Morgan Stanley Smith Barney Name of the Respondent Hearing Site: Tampa, Florida Shane Wheeler Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley Smith Barney, hereinafter referred to as "Claimant": Todd Ratner. Esq.. Park Ratner PLC, Richmond. Virginia. Shane Wheeler, hereinafte

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03593 Roman Bardens Name of the Respondent Hearing Site: Ft. Lauderdale, Florida Wachovia Securities. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Roman Bardens. hereinafter referred to as "Claimant": Jeffrey Erez. Esq. and Stefan Apotheker, Esq., Sonn & Erez, PLC, Ft. Lauderdale, Florida. For Wac

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Adam C. Singer, as Trustee for the Adam C. Singer 2004 Trust UA DTD 20FEB04 vs. Case Number: 09-01485 Hearing Site: Dallas, Texas Name of Respondent Goldman, Sachs and Company NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Adam C. Singer, as Trustee for the Adam C. Singer 2004 Trust UA DTD 20FEB04 ("Claimant" or "Singer")

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-05603 Judy Calufetti Names of the Respondents Hearing Site: Fort Lauderdale, Florida Merrill Lynch. Pierce Fenner & Smith, Incorporated Susan Gottlieb Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Judy Calufetti, hereinafter referred to as "Claimant": Russell L. Forkey, Esq.. Russe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Turbo Investors, LLC (Claimant) v. Cohmad Securities Corporation, Robert M. Jaffa, Maurice J. Cohn, and Marcia B. Cohn (Respondents) Case Number: 09-05485 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Turbo Investors. LLC, hereinafter referred to as "Claimant": Bruce D. Oakes, Esq. and Ri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mathias John Hawkins, Sr. (Claimant) v. Toussaint Capital Partners, LLC (Respondent) Case Number: 10-02985 Hearino Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Mathias John Hawkins. Sr., hereinafter referred to as "Claimant" appeared pro se. Respondent Toussaint Capital Partners, LLC, hereinafter referred to as

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03775 Morgan Stanley Smith Barney LLG (Glaimant) vs. James Kevin McKinlay, Jr. (Respondent) REPRESENTATION OF PARTIES: For Glaimant: Mauricio S. Beugelmans, Esq., Hand Baldachin & Amburgey LLP, New York. NY. Respondent did not enter an appearance. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 23,2010. CASE SUMMARY: Glaimant asserted the following cause of action: Breach of promissory

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Francis W. Fry and Judith Fry vs. Case Number: 09-04750 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Advest, Inc., Banc of America Securities, LLC. Stephen Michael Maher, and George John Dusckas, Jr. NATURE OF THE DISPUTE Customers vs. Members and Associated Persons REPRESENTATION