AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Case Number: 09-00423 Hearing Site: Columbus, Ohio Name of Respondent Raymond J. Jackson NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Claimant" or "Merrill Lynch") was represented by Christopher C. Young, Esq., Rubin Fortu

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Art)itration Between: Names of Claimants Donald Fangman, MD and FRA Mauro, LTD. vs. Case Number 09-01093 Hearing Site: Omaha, Nebraska Names of Respondents RBC Dain Rauscher, Inc. and Victor Vardell Oelsen Customers vs. Memt>er and Associated Person Donald Fangman, MD ("Dr. Fangman") and FRA Mauro, LTD. ("FML"), hereinafter collecth/ely referred to as "Claimants," were rep

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01419 Mary K. Gordon (Claimant) vs. Jeffrey L. Endicott. Compliance Analyst AIG Advisors, Retirement (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Camdenton. MO. For Respondent appeared Amy B. Boyea, Esq.. Edison, McDowell & Hetherington, LLP. Arlington, TX. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: March 3, 2009 CASE SUMMARY: Claimant alleged damages as a result of Re

stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Banc of America investment Services, Inc. (Claimant) vs. Bernard J. Cerrone (Respondent) Case Number 09-01681 Hearino Site: Augusta, Maine Nature of the Dispute: Memt>er vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America investment Services, inc., hereinafter referred to as "Ciaimar^: Diane C. Fischer, Esq., Kane & Fischer, LTD., Chicago, IL.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Merlin Securities, LLC (Claimant) vs. Traunche Partners, LLC. Traunche Capital Advisors, LLC, Traunche Global Micro Fund, LP, and Evan A. Vaughan (Respondents) Case Number: 09-01805 Hearing Site: New York. New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant Merlin Securities, LLC, hereinafter referred to as "Claimant": Jonathan W. Hughes, Esq

Award FINRA Dispute ResohiUon In the Matter of the Arbibatton Between: Name of ttie Claimant Case Number 09-04235 Damon Brent Dozler Name of the Respondent Hearing Site: Los Angeles, Califomia Mark Hennan Rhynes Nature of the Dispute: Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimant Damon Brent Dozler hereinafter referred to as Claimant": pro se, Los Angeles, Califomia Respondent Marie Hennan Rhynes hereinafter r

Award FINRA DIapute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-03874 Arian Coulter Respondents Hearing Site: SeatUe, Washington Commonwealth Equity Sen/ices, LLP dba Commonwealth Financial Networic Daniel J. Wierema Edwanj W. Grogan IV Nature of the Dispute: Customer vs. Member and Associated Pereons REPRESENTATION OF PARTIES Claimant, Arian Coulter, hereinafter referred to as "Claimant": Richard D. B

Award FINRA Dispute Resolution In the Matter of the Art)itratlon Between: Name of the Claimant Christopher Winton Case Number 08-03243 Name of th? Respondent H&R Block Financial Advisora, Inc. a/k/a Ameriprise-AdvlsorSennces, Inc. Hearing Site: Dallas, Texas Name of tiie Cpunter-Ciaimant H&R Bk)ck Financial Advisora, Inc. a/k/a Ameriprise Advisor Servtees, Inc. Name of the Counter-Respondent Christopher Winton Nature of the Disput

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number. 08-00273 Edmund A. Gann, individually and as Trustee of the Edmund A. Gann Trust UTD 9/14/92 Respondents Hearina Site: San Diego, California UBS Financial Services Inc. James G. Shelbume Andrew D. Geller Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant. Edmund A. Gann, Individually and as T

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Resoondent Raymond James & Associates, Inc. vs. Name of Respondent / Counter-Claimant John Lagattuta Case Number: 08-02090 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Raymond James & Associates, Inc. ("Claimant") was represented by Kelli Bullington, Esq., Raymond