Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Emily Czelusniak, Linda Dudek, and Joan Boutin (Claimants) vs. Peter Borello, Richard Crews, and UBS Paine Webber (Respondents) Case Number: 09-02683 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimants Emily Czelusniak ("Czelusniak"). Linda Dudek ("Dudek"), and Joan Boutin ("Boutin"), hereinaf

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05529 Paul P. Geier (Claimant) vs. The GMS Group. LLC (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Leonardo Trivigno. Esq.. Carter Ledyard & Milburn, LLP. New York. NY. For Respondent appeared John E. Jenkins. Esq.. Lubiner & Schmidt. LLC. Cranford, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 23. 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05363 Valerie Doherty (Claimant) vs. Jeffrey Gromos and Edward Jones (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Cleanvater, FL. For Respondents appeared Dennis J. Capriglione. Esq., Edward Jones, St. Louis. MO. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: September 9, 2009 CASE SUMMARY: Claimant asserted the following causes of action: unsuitability and mismana

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04757 CNS Corporation (Claimant) vs. Morgan Stanley Smith Barney LLC (Respondent) REPRESENTATION OF PARTIES: For Claimarrt appeared James L. Buchal. Esq., Murphy & Buchal LLP, Portland, OR. For Respondent appeared Harper Fertlg-Robinson, Esq., Morgan Stanley Smith Barney, New Yori^, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 12, 2009 CASE SUMMARY: Claimant asserted the following cause of actio

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04366 Paul Schwenn and Ginette Schwenn TTEE for Paul W. and Ginette Schwann Family Trust (Claimants) vs. Banc of America Investment Services, Inc., and Craig Luchinetti (Respondents) REPRESENTATION OF PARTIES: Claimants appeared pro se, Auburn, WA. For Respondents appeared Genna Stephens. Esq.. Fulbright & Jaworski, L.L.P., Dallas. TX. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gilbert Millstein (Claimant) vs. Oppenhelmer & Co., Inc. (Respondent) Case Number: 08-03749 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Gilbert Millstein hereinafter referred to as "Claimant": David M. Levy, Esq.. Robinson Brog Leinwand Greene Genovese & Gluck P.C.. New York, NY. Respondent Oppenhelmer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dennis Lynch (Claimant) vs. First Providence Financial Group, LLC, Brookstreet Securities Corporation, John M. Meyers. Stephen P. Washburn, Deborah A. Scott. Kathleen M. McPherson. Mark A. Atchity, Scott S. Brooks, Stanley C. Brooks, Julie B, Mains, The Brooks Family Trust, H. Thomas Fehn, K. Michael Garrett, Steve Skytte, Russell Robert Riccobono, Jr.. David M. Levy, Scott Lee Magallanes.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Daniel Bach, Carol Bach, Olga Bach & Daniel Bach, Daniel Bach custodian for Marisa Serefina, Jonathan Bach, Eric Bach & Daniel Bach, Daniel Bach IRA, Steven Bach, Laura Bach & Daniel Bach (Claimants) vs. Continental Broker-Dealer Corp., Gregory Mumtaz Hasho, Thomas Tieman, Mark Goetz, Dominick Bianco, Thomas Paul Francis, Lawrence Balzano, Darren Deluca, Kenneth Rodgers, Joseph Podelsky, Ad

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 09-01632 The Morgan Hungerfofd Trust U/A D TD 03/06/99, by its Trustee, Robert M. Hungerfbrd and The Courtney Hungerford Trust U/A DTD 03/06/99, by its Tnistee. Robert M. Hungerfbrd Name of the Respondent Hearina Site: Richmond, VA Johnston, Lemon & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESEflTATION OF PA

Award FINRA Dteputo Resolution In the Matter of the Ari>itration Between: Names of the Cjaiinante C|Bq Nijfnt^gr, 09^067 Cleveland J. Foret Joan Foret Names of the Respondente Hearing Site: New Orieans. Louisiana Legg Mason Wood Walker, Ina Sterne, Agee & Leach, Inc. Natore of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Cleveland J. Foret and Joan Foret. hereinafter collectively referred to as "Ciaimante": James F.