Award nNRA DIaputo Reaoiutton in the Matter of tiie Ari^itratton Between: Name of the Claimant Q^ggNtifn^r; 09-01842 Domiciano Redondo Name of ttw Respondent Hearing Site: Oriando, Florida E*Trade Securities, LLC Natore of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Domiciano Redondo, hereinafter refened to as 'Claimant^: Allan P. Whitehead, Esq., Frese, Hansen, Ariderson, Anderson, Houston & Whitehead, P.A., Melbourne,

Stipulated Award FINRA DIaputa Raaolution In the Matter of the Arbitration Between: Names of the Claimants Case Numtier: 0&-01187 Richard Danielewski Bart)ara Danieiewsici Names of the Respondents Hearing Site: RichmorKi, Virginia Brace K. Aveilar Avellar Advisors, Inc. Synergy Investment Group, LLC Nature of the Dispute: Customer vs. Memt)er and Associated Person. REPRESENTATION OF PARTIES For Richard OanieiewsId and Bart>ara Daniele

Avrard RNRA Diepule ReeohiUon In tiie Matter of ttie Ariaitretion Between: Name Qt ttie Cteimant Case Number 09-02476 Oppenhelmer & Co., Inc. Name of tiie Reapondent HWflPg gift; Boca Raton, Ftorida Davto N. Frand Nature of the Dtepute: Member vs. Assocteted Person. rATlON OF PARTIES For Oppenhelmer & Co., inc., hereinafter referred to as "Clalmanr: Cory S. Zadanosky. Esq., Zadanosky & Associates, P.A., Laire Wortii, Ftorida. David N. Fra

Award FINRA DIsputo Resolution in the Matter of the Arbttration Between: Name oT tiie Cteimant Case Number 0&-04157 Banc of America Investment Sendees, inc. Name of tiie Respondent Hearino Sfte; Chartotte. North Carolina Joseph P. Roop Nature or the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc or America investment Services. Inc., hereinatter refiarred to as "CteimanT: David Smtth, Esq., Kane & Fischer. Ltd., Chic

Awsrd FINRA DIsputo Resolution In the letter or the Arbttration Between: Name or ttw Claimant Case Number. OS-03813 ' UBS Financtei Services. Inc. Nanrw or ttie Respondent Hearing SHe: Tampa, Florida Brian E. Prost Nature or the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Senfices Inc., hereinafter referred to as "Clalmanr: James J. McNatnara. Esq., Schuyter Roche. P.C., Chicago, lllinote. For Brian

Award FINRA Dtoputo Resolution in the Matter of tfie Arbitration Between: Names of the aaimante Case Number 09-02905 Cario D'Attili Robtes Cynttite Rivera FIgueroa Nanne of tiie Respondent Hearino Site: San Juan, Puerto Rico Orientei Financial Services. Corp. Nature of ttie Dispute: Customer vs. IMember. REPRESENTATION OF PARTIES For Cario D'Attili Robles and Cynthia Rivera FIgueroa, hereinafter collectively rafaned to as "Claimante": Rat

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nsme of the Claimant Case Number 09-01591 James E. Wortman Names of the Respondents Hearing Site: Raleigh, North Carolina Uvest Financial Sendees Group, Inc. Sovereign Advisers, LLC Nature of the Dispute: Customer vs. Member arKi Non-Member. REPRESENTATION OF PARTIES For James E. Wortman, hereinafter referred to as "Claimanf: Andrew O. WhHeman, Esq.. Hartzell & White

Award FINRA DIapule Reedution In the Matter of the Arbitratton Between: Claimant Case Number 08-00835 Banc of America Investment Sen/ices, Inc. ResDondent Hwrlnfl ?Be: Seattle. Washington Luan BerJsha And; Counter-Claimant Luan Berlsha Counter-Respondent Banc of America Investment Services. Inc. And; Thifd-Partv Claimant Luan Berisha Third-Partv Respondent Mathew Dailey Nature of the Disputes: Member vs. Associated

-A Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCiaimant: Case Number 09-00752 Harry Loclcmann Name of the Respondents: Hearino Site: San Diego, California Banc of America Investment Services, Inc. Mark Holland Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Harry Loclcmann, hereinafter referred to as "Claimant": Arthur S. Leider, Investors Arbit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: AXA Advisors, L.L.C. (Claimant) vs. John Treanor (Respondent) Case Number: 09-03280 Hearino Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant AXA Advisors, L.LC. hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, L.L.C. Cranfbrd, New Jersey. Respondent John Treanor hereinafter referred t