AWARD FINRA DISPUTE RESOLUTION CASE: 09-02807 James Peter Crowley and Nancy Corinne Crowley (Claimants) vs. Jamie J. Hills and Chase Investment Services Corporation (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Patrick Crowley. Dearborn, Ml. For Respondents appeared Sheila E. Carson. Esq., JP Morgan Chase Bank. N.A., New York, NY. NATURE OF DISPUTE: Customers v. Member and Associated Person DATEFILED:May 12. 2009 CASE SUMMARY: C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dr. Irving Raphael, Ava Raphael, Brian Raphael. Bradley Raphael, and Brooke Raphael (Claimants) vs. RBC Dain Rauscher, Boice H. Sears a/k/a Brewster Sears, Joseph O'Connor, and Heather Hunt-Ruddy (Respondents) Case Number: 08-02854 Hearing Site: Rochester, New York Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTiES Claimants Dr. Irving R

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02956 Jose Fabian Seven and Ana Maria Silva. JTWROS (Claimants) vs. UBS Financial Services, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Seth E. Lipner, Esq.. Deutsch & Lipner, Garden City, NY. For Respondent appeared Randi Perry Spallina, Esq., UBS Financial Services. Inc., Fort Lauderdale. FL. NATURE OF DISPUTE: Customers v. Member DATE FILED: May 26, 2009 CASE SUMMARY; Claimants as

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04070 Manuel Millan (Claimant) vs. Fidelity Brol< erage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. New York, NY. For Respondent appeared Melissa Hegger Shea, Esq., Fidelity Brokerage Services LLC. Boston. MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 8. 2009 CASE SUMMARY: Claimant asserted the following causes of action: failure to execute and breach of fiduci

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sidney Lieberman, IRA (Claimant) v. Merrill Lynch, Pierce, Fenner& Smith Incorporated and Lyie Scott Flaugher (Respondents) Case Number: 08-04352 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Sidney Lieberman, IRA, hereinafter referred to as "Claimant": Sara F. Lieberman. Esq., Mound Cotton W

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01033 Walter D. Blake-Trustee Names of the Respondents Hearing Site: Boca Raton, Florida J.B. Hanauer&Co. Marc R. Friedson James Jahnsen Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Walter D. Blake-Trustee, hereinafter referred to as "Claimant": Nicholas D. Thomas, Esq., Vero Be

AWARD FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Name of Claimant Linda Whitney vs. Case Number: 09-00757 iHearing Site: IHouston, Texas Names of Respondents Edward D. Jones & Co., LP and Alan Myer Krocl^over NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Linda Whitney ("Claimant") appeared pro se. Edward D. Jones & Co., LP ("Edward Jones") and Alan Myer Krockover

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04137 Spruce Cliff Investments Ltd. (Claimant) vs. TD Ameritrade. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Brian Gracey, Vancouver. British Columbia. Canada. For Respondent appeared Catherine C. Lemoine. TD Ameritrade. Inc.. Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 8. 2009 CASE SUMMARY: Claimant asserted the following causes of action: unauthorized trades; brea

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter J. DaPuzzo and Mary Jane DaPuzzo (Claimants) vs. Robert T. Myers (Respondent) Case Number: 08-04392 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimants Peter J. DaPuzzo ("P. DaPuzzo") and Mary Jane DaPuzzo ("M. DaPuzzo"), hereinafter collectively referred to as "Claimants": Steven B. Feigenbaum, Esq.,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04426 Charles Matisi (Claimant) vs E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Mahopac. NY. For Respondent appeared John Bersin. E*Trade Securities. LLC. Roseville. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 24. 2009 CASE SUMMARY: Claimant asserted the following causes of action: failure to disclose pertinent information, omission ot facts, and misrep