FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00736 EKN Financial Services, Inc. ("Claimanf) vs. Scott Allan Shapiro ("Respondent") ATTORNEYS: For Claimant appeared Anthony Ottimo, EKN Financial Services. Inc., Woodbury, NY. Respondent Scott Allan Shapiro did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 11. 2009 CASE SUMMARY: Claimant alleged that Respondent is lia

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Theodore Charles Kunz (Claimant) vs. Abel/Noser Corp. (Respondent) Case Number: 08-01521 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Theodore Charies Kunz ("Claimant") appeared pro se. Respondent Abel/Noser Corp. ("Respondent"): David M. Sobel, Esq., Abel/Noser Corp., New York, NY. CASE INFORMATION

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03959 Harold M. Delurey ("Claimant") vs. Merrill Lynch, Pierce. Fenner & Smith, Inc., and David Costa ("Respondents") REPRESENTATION OF PARTIES: Claimant appeared pro se, Clifton Park, NY. For Respondents appeared Katharine M. McGrail, Esq., Krebsbach & Snyder, New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: October 24, 2008 CASE SUMMARY: Claima

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James Anthony Manfredonia (Claimant) vs. Dahlman Rose & Company. LLC, Ernest John Dahlman, III, and Simon Alexander Rose (Respondents) Case Number: 08-04020 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant James Anthony Manfredonia ("Claimant"): Brian S. Kaplan, Esq.. Kasowitz. Torres,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Louis R. Rosenwein and Meredith Reich Rosenwein as Trustee f/b/o Robert Lee Rosenwein (Claimants) v. Janney Montgomery Scott LLC and Ralph Esposito (Respondents) Case Number: 06-01063 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Louis R. Rosenwein ("Rosenwein") and Meredith Reich

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jan Stahl (Claimant) vs. The Concord Equity Group. LLC and Ralph Johnson (Respondents) Case Number: 08-01032 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTiES Claimant Jan Stahl ("Claimant") appeared pro se. Respondent The Concord Equity Group, LLC ("The Concord Group"): George F. Meierhofer, Esq., Be

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04206 Marilyn Lea Brown ("Claimant") vs. UBS Financial Sen/ices. Inc. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Mableton, GA. For Respondent appeared Randi Perry Spallina. Esq., UBS Financial Services. Inc., Fort Lauderdale, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 12.2008 CASE SUMMARY: Claimant alleged that Respondent unsuitably recommend

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00367 Alan Gelband & Co. Defined Contribution Pension Plan & Trust ("Claimant") vs. TD Ameritrade, Inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Alan Gelband, New York, NY. For Respondent TD Ameritrade, Inc., appeared James J. Vihstadt, Esq.. TD Ameritrade. Inc., Omaha, NE. NATURE OF DISPUTE; Customer v. Member DATE FILED: January 22. 2009 CASE SUMMARY: Claima

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00741 Edwin Goldstein ("Claimant") vs. Charles Schwab & Co.. Inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Samuel T. Brannan. Esq.. Page Perry, LLC, Atlanta. GA. For Respondent appeared Evelyn A. Christensen, Esq., Keesal, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 11, 2009 CASE SUMMARY: Claimant alleged misrepresenta

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Christian D. Martin (Claimant) vs. Banc of America Securities LLC. Banc of America Corp., NB l-loldings Corp., and Bank of America Securities Holdings Corp. (Respondents) Case Number: 08-00319 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Christian D. Martin hereinafter referred to as "Cla