STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Banc of America Investment Services, Inc. vs. Case Number: 08-02880 Hearing Site: Oldahoma City, Oklahoma Name of Resoondent/Counter-Claimant Steven E. Becker NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant" or "BAI") was represented by Dia

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eugene C. Ross (Claimant) vs. Bear Stearns & Co., Inc. (Respondent) Case Number: 06-02076 Hearing Site: Nevv Yorl^, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Eugene C. Ross hereinafter referred to as "Claimant appeared pro se. Previously represented by Kim L. Michael, Esq., Wechsler & Cohen, LLP, New York, NY and Jonathan Be

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Douglas A. Lee (Claimant) vs. Trinity Trading Corporation and James Bovino (Respondents) Case Number: 09-00886 SITUS: New York, New York. NATURE OF DISPUTE: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Douglas A. Lee hereinafter referred to as "Claimant": Anthony Carabba, Jr., Esq., Carabba Locke LLP, New York, NY. Respondents did not enter a

AWARD FINRA DISPUTE RESOLUTION CASE; 09-02096 Oppenheimer & Co., inc. (Clainfiant) vs. Gregory W. Eknoyan (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared John T. McGuire, Esq., Oppenheimer & Co., Inc., New Yorl^, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 14. 2009 CASE SUMMARY: Claimant asserted the following cause of action: amounts owed pursuant to a Prom

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jiann Ming Doong and Angela Wang (Claimants) vs. Morgan Stanley Dean Witter, Inc. and Thomas Tishman (Respondents) Case Number: 07-01692 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jlann Ming Doong ("Doong") and Angela Wang ("Wang"), hereinafter collectively referred to as "Claimants": Ri

Amended Award FINRA Dispute Resolution In the Matter of the Arbrtratlon Between: Names of the Claimanta Case Number. 08-03716 Joseph P. BJllera JOGLO Associates, LP Name of the Respondent Hearing Stte: Boca Raton, Florida UBS Financial Services, Inc. Nature of the Dispute: Customer vs. Memt)er Put)lic Art)ltrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Joseph P. Blllera and JOGLO Associates. LP, hereinafter coiiec

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Donna G. Leinert-Clegg, both Individually and on Behalf of her IRA vs. Names of Respondents Westminster Financial Securities, Inc., Waterstone Financial Group, Inc., and Mark Wayne Mills Case Number: 08-03605 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Donn

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David W. Thompson vs. Case Number: 09-00022 Hearing Site: Milwaukee, Wlscx)nsin Name of Respondent Pavek Investments, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES David W. Thompson ("Claimant" or "Thompson") was represented by Howard M. Rosenfield, Esq.. Law Office of Howard M. Rosenfield, Farmington, Connecticut.

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Banc of America Investment Services. Inc. vs. Name of Respondent Gabrell Christian Chambers Case Number: 09-00253 Hearing Site: Dallas, Texas Member vs. Associated Person mON OF PARTIES Banc of America Investment Services, Inc. ("Claimant") was represented by Diane C. Fischer. Esq., Ronald P. Kane, Esq.. and Thomas A. Volz, Esq., Kane & Fi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-03733 Sharon Schoenfeld ResDondent Hearing Site: Denver, Colorado Charies Schwab & Co.. Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Sharon Schoenfekl, hereinafter referred to as "Claimant": Lisa Welch Stevens, Esq., Northgate Law Offices. Colorado Springs, Colorado. Respondent, Charles Schwab & Co., Inc