Award FINRA Dispute Resolution In the Matter of the Art^itration Between: Hilary Shane (Claimant) v. First New York Securities LLC (Respondent) Case Number: 09-03237 Hearing Site: New Yori^, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Hilary Shane hereinafter referred to as "Claimant": Richard M. Asche, Esq.. Litman, Asche & Gioiella, LLP, New Yoric. NY. Respondent First New Yoric Securities LLC he

Award FINRA Disputo Resolution In the Matter of the Arbitration Between: Bernard B. Markey (Claimant) vs. Fidelity Brokerage Sen/ices. LLC (Respondent) Cgise Number: 09-04839 Hearino Site: Newark. New Jersey consolidated with Bemard B. Markey and Navigator Partners. LLC (Claimante) vs. Fidelity Brokerage Sen/ices. LLC (Respondent) Cgse Number 09-04840 Hearing Site: Newark, New Jersey Nature of the Dispute 09-04839: Customer vs. Member. Nature

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01313 Jordan M. Brickman and Linda S. Brickman (Claimante) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: For Claimante appeared Jordan M. Brickman, Phoenix, AZ. For Respondent appeared Sean R. Murphy. Esq., Fidelity Brokerage Services LLC, Boston. MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 17. 2010 CASE SUMMARY: Claimants asserted the following causes of action

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00885 Wells Fargo Advisors, LLC fomneriy known as Wachovia Securities LLC (Claimant) vs. Gary Feidman (Respondent) REPRESENTATION OF PARTIES: "~ ~ For Claimant appeared Michael S. Colombo. StreetWide Asset Recovery Group, inc.. Haziet. NJ. For Respondent appeared Neal M. Goldstein, Esq., GershunI & Goldstein LLP, Los Angeles, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 24,201

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06942 Merrill Lynch, Pierce, Fenner & Smith Incorporated (f/k/a Banc of America Investment Services, Inc.) (Claimant) vs. Tim Dowden (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. For Respondent appeared J. Mitchell Little, Esq., Scheef& Stone LLP, Frisco, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 14,2009 CAS

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Henry Fred Hanau and HFH Planning, Inc.. (Claimants) vs. TD Ameritrade. inc. (Respondent) Case Number: 09-05967 Hearino Site: New York. New York Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimante Henry Fred Hanau ("Hanau") and HFH Planning Inc. ("HFH"), hereinafter referred to as "Claimante": Henry Fred Hanau, HFH Planning, Inc., New Yori^. NY. R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sandy Lemer (Claimant) vs. Sanford C. Bemstein & Co., LLC (Respondent) Case Number 09-01011 Hearing Site: New York, New Yori^ Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Sandy Lemer hereinafter refenBd to as "Claimant": Louis F. Burke, Esq.. Louis F. Burke, P.C, New Yoric, NY. Respondent Sanford C. Bemstein & Co., LLC hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Rosenow 1 Limited Partnership (Claimant) vs. Citigroup Global Markete, Inc. (Respondent) Case Number: 08-02649 Hearino Site: New Yori(, New Yoric Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Rosenow 1 Limited Partoership ("Claimant"): Neil B. Solomon. Esq., Neil B. Solomon. P.A., Jupiter, FL. Respondent Citigroup Global Markete, Inc. ("Resp

Award FINRA Dispute Resolution In the Matter of the Ari>ltration Between: Rodman & Renshaw, LLC, John Borer, Edward Rubin, Michael Vasinkevich, and Wesley K. Claris (Claimants) vs. Matthew N. Murray (Respondent) Case Number: 06-04643 Hearino Site: New Yori^, New Yori< Nature of the Dispute: Member and Associated Persons vs. Associated Person. REPRESENTATION OF PARTIES Claimants Rodman & Renshaw, LLC ("Rodman"), John Borer ("Borer^), Edward Rubin ("Ru

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Alvin Trenk (Claimant) vs. Oppenheimer & Co., Inc. (Respondent) Case Number: 09-01760 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Alvin Trenk hereinafter referred to as "Claimant": Mrtchell Maricowitz, SMRC, inc., Brooklyn, NY. Respondent Oppenheimer & Co., Inc., hereinafter referred to as "Respondent": Peter