AWARD FINRA Dispute Resolution In the Matter of the ArtDitration Between: Name of Claimant RSA 1 Limited Partnership vs. Case Number: 09-04932 Hearing Site: Des Moines, Iowa Names of Respondents Raymond James & Associates, inc., Raymond James Financial Services, Inc., and Duane Arthur Sturm NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES RSA 1 Limited Partnership ("Claimant") was represen

AWARD FINfRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jane C. Love, and MLPF&S OUST FPO., Jane C. Love IRIRA, FBO Jane C. Love vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 09-05668 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Jane C. Love, and MLPF&S OUST FPO., Jane C. Love IRIRA, FBO Jane C. Love ("Claima

Case Number: 09-05084 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Raymond James & Associates, inc. ("Claimant") was represented by Kelli Buiiington, Esq., Raymond James & Associates, Inc., St. Petersburg, Florida. Mark L. Davis ("Respondent") was represented by Richard L. Boihouse, Esq., Boihouse, Vander Hulst, Risko, Baar & Lefere, P.C, Grandville, Michigan. CASE INFORMATION The Statem

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-01568 Jordan H. Moffet and Margot A. Trombley. individually and as Trustees of the Moffet Family Trust Respondent Hearing Site: Los Angeles. California Oppenheimer & Co., Inc. ^ Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Jordan H. Moffet and Margot A. Trombley, individually and as Trustees of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Irina Aronson Irrevocable Trust (Claimant) vs. Prestige Financial Center, Inc., Friedman Schnaier Asset Mgt, LLC d/b/a Friedman, Schnaier & Associates, and Tod Bretton (Respondents) Case Number: 08-04753 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant The Irina Aronson Irrevocable Trust he

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Francis X. Flannery and Anne S. Flannery (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 09-03651 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Francis X. Flannery ("Francis Flannery") and Anne S. Flannery ("Anne Flannery") hereinafter collectively referred to as "Claimants"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04531 Bonnie M. Shoultz Name of the Respondents Hearing Site: San Diego, California Joshua Jason Billauer Ralph Thomas Bryan Christopher Thomas Kozo Wachovia Securities, LLC Robert Alan Wolter Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant. Bonnie M. Shoultz. hereinafte

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-03174 Leon S. Kaplan Name of the Respondents Hearing Site: San Francisco. Califomia Stone & Youngberg, LLC Jeffrey D. Green David J. Lowi William A. Evans III Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Leon S. Kaplan, hereinafter referred to as "Claimanf: Cary S. Lapidus

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert J.A. Zito and Dana Cole, JTWROS (Claimants) vs. Morgan Stanley Smith Barney f/k/a Citigroup Global Maricets, Inc., and Charles R. Albanese (Respondents) Case Number: 09-04980 Hearing Site: New Yorl< , New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert J.A. Zito ("Zito") and Dana Cole ("Cole") hereinafter colle

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald Chernesky (Claimant) v. Assent LLC, David Choi, and Arima Capital LLC (Respondents) Case Number: 09-05972 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member, Associated Person, and Non- Member. REPRESENTATION OF PARTIES Claimant Ronald Chernesky hereinafter referred to as "Claimant": Anthony J. Mom, Esq., New York, NY. Respondent