STIPULATED AWARD FINRA Dtaputo Resolution In the Matter of the Arbttration Between: Name of Claimant/Counter-Resoondent Frank Grossman vs. Case Number 09-01495 Hearing Stte: Chicago, lliinoia Name of Respondent/Counter-Claimant Banc of America Invesbnent Servtoes, Inc. n/Wa Menill Lynch, Ptorce, Fenner & Smtth, Inc. MATURE OF THgPISPtrrg Associated Person vs. Member REPReSEWTATIQN OF PftRTIES Frank Grossman ("Claimanr or "Grossman") w

AWARD FINRA Dispute Resolution In the Matter of the Arbttration Between: Names off Claimants Ronald Tremblay and Joan Tremblay vs. Case Number 07-03618 Hearing Stte: Detrott, Michigan Names off Reaoondenta GunnAHen Rnandal, Inc., Frank J. Bluestein, Questar Capttal Corporation, Maximum Rnancial Group, Inc., and F.F., Inc. and Name of Cross-Claimant GunnAHen Rnancial, Inc. vs. Name of Croaa-Rasoondent Questar Capttal Corpor

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00070 Alvin M. and Linda Coppersmith, Alvin M. Coppersmith, IRA Account, and Alvin M. Coppersmith, Keogh Account (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Alvin M. Coppersmith, Fresno, CA. For Respondent appeared Richard A. Karoly, Esq., Charies Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: January 4, 201

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06928 Debra Alavi DDS MS Defined Benefit Plan, Debra G. Alavi, Trustee (Claimant) vs. Douglas G. Mavrovic (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Debra G. Alavi, Oak Brook, IL. For Respondent appeared Nicole C. Johnson, Esq., JP Morgan Chase & Co., New York, NY. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: December 10,2009 CASE SUMMARY: Claimant asserted the following c

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06893 Steve N. Mitchell d/b/a Esemco Corporation and Steve N. Mitchell Traditional and Roth IRA (Claimants) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Steve N. Mitchell, Tivoli. NY. For Respondent appeared Sean R. Murphy, FMR LLC, Boston. MA. NATURE OF DISPUTE: Customers v. Member DATE FILED: December 10.2009 CASE SUMMARY: Claimants asserted the following

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06726 Royal Alliance Associates, Inc. (Claimant) vs. Sharon D. Hubbemian (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Barry R. Temkin, Esq., Mound, Cotton, Wollan & Greengrass, NewYori^, NY. Respondent appeared pro se, Perth Amboy, NJ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 27. 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of contra

Award FiNRA Dispute Resolution In the Matter of the Ari3itration Between: Merrill Lynch, Pierce, Fenner & Smith incorporated f/k/a Banc of America Investment Services, Inc. (Claimant) vs. Steven M. Lav4on (Respondent) Case Number: 09-06537 SITUS: Providence, Rhode Island NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: Merrill Lynch, Pierce, Fenner & Smith, Incorporated f/k/a Banc of America Investment Services, Inc., herei

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06140 Citigroup Global Maricets, Inc. (Claimant) vs. Janice C. Koch (Respondent) REPRESENTATION OF PARTIES: "~ For Claimant appeared Chad Gottlieb, Esq., Alonso, Andalkar & Kahn, P.C., New Yori(, NY. Respondent appeared pro se, Syl(esville, MD. NATURE OF DISPUTE: Member v. Customer ~ DATE FILED: October 26, 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract, mist

Award FINRA Diapute Resolution In the Matter of the Ariaitration Between: Daniel R. Klein (Claimant) vs. Ameriprise Financial Services, inc. (Respondent) Case Number. 09-04785 Hearino Site: New Yori^. New YoriQ Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Daniel R. Klein hereinafter referred to as "Claimant": Christine A. Palmieri, Esq., Liddle & Robinson, L.L.P., New Yoric, NY. Respondent Ameriprise Financi

Award FINRA Diapute Resolution In the Matter of the Arbitration Between: Martha' Brancato and Vincent Brancato (Claimants) v. E^Trade Securities LLC (Respondent) Case Number: 09-04539 Hearing Site: New York. New Yoric Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Ciaimante Martha Brancato ("M. Brancato") and Vincent Brancato CV. Brancato"), hereinafter collectively referred to as "Ciaimante: V. Brancato, New Hyde Park, NY.