FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00637 Richard S. Fernandes ("Claimant") vs. GunnAllen Financial, Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, DeerField Beach, FL. For Respondent appeared Jay Marc Israel, Esq., Lindenhurst, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 6, 2008 CASE SUMMARY: Claimant alleged stock fraud, misrepresentation, failure to supervise, and negligence. Claimant mai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Isidore Fields and Dolores Fields (Claimants) vs. Chase Investment Corp., Loren Bailey, and Nick Manchisi (Respondents) Case Number: 07-02956 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Isidore Fields ("I. Fields") and Dolores Fields ("D. Fields") hereinafter collectively referred to as

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Puccinelli Jr. Trust 10-1-1998, Samuel J. Puccinelli, Trustee, Puccinelli PRFT SHR TT 2-1-98, Samuel Puccinelli, Jr., Trustee, and Puccinelli Retire TST 6-26-00, Samuel Puccinelli, Jr., MD, Inc., Trustee vs. Names of Respondents NatCity Investments, inc., Brian Henry Bruscino, National City Insurance Group, Inc., and Hartford Life and

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gary W. l\/larsico. Individually and as Beneficial Owner of ROTH IRA FBO Gary W. Marsico vs. Name of Respondent Fidelity Brokerage Services, LLC Case Number: 07-03450 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Gary W. Marsico, Individually and as Beneficial Owner of ROTH IFR

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Nanne of Claimant/Counter-Respondent Amit Y. Sela vs. Case Number: 07-02458 Hearing Site: Minneapolis, Minnesota Names of Respondents/Counter-Claimants Oak Ridge Financial Sen/ices Group, Inc. and Jeffrey A. Schachtman NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Amit Y. Sela ("Claimant") was represented by

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant H.C. Wainwright & Co., Inc. vs. Name of Respondent Legent Clearing, LLC Case Number: 07-03016 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Member vs. Member REPRESENTATION OF PARTIES H.C. Wainwright & Co., Inc. ("Claimant") was represented by Michael T. Stolper, Esq., On-ick, Herrington & Sutcliffe, LLP, New York, New York. Legent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02602 A. Dale Ray Names of the Respondents Hearing Site: Nashville, Tennessee James Bratcher Securities Service Network, Inc. Financial Management Advisors, Inc. Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For A. Dale Ray ("Ray"), hereinafter referred to as "Claimant": Walte

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Ameriprise Financial Services, Inc. (Claimant) vs. Johan Leffler (Respondent) Case Number: 08-00320 SITUS: Hartford, Connecticut NATURE OF DISPUTE: IVIember v. Associated Person. REPRESENTATION OF PARTIES: Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Edward B. Magarian, Esq., Dorsey & Whitney LLP, Minneapolis, MN. Respondent Johan Leffler ("Re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02447 Bemice Kramer Names of the Respondents Hearing Site: Boca Raton, Florida Traderight Securities, Inc. Newbridge Securities Corp. Linsco/Private Ledger Corp. Leighton David Appiefeld Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bernice Kramer ("Kramer"), hereinafter referred

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent H&R Block Financial Advisors. Inc. vs. Name of Respondent / Counter-Claimant Robert Casaceli Case Number: 07-01853 Hearing Site: Detroit, l\^ichigan NATURE OF THE DISPUTE l\1ember vs. Associated Person REPRESENTATION OF PARTIES H&R Block Financial Advisors. Inc., ("Claimant" or "HRBFA") was represented by Edward