Award FINRA Dispute Reeolution in the Matter of the Arbttration Between: Antonio Lisi (Claimant) vs. Conseco Finandai Services, Inc.. and Conseco, inc. (Respondente) Case Number: 09-04000 Hearing Site: Newaric. New Jersey Nature of the Dispute: Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant Antonio Lisi hereinafter referred to as "Claimant" appeared pro se. Respondente Conseco Financiai Services. Inc. ("CFS") and Conse

Award FINRA Dtoputo Reeolution to ttie Matter of ttie Art)ttratton Between: Name of ttie Ctoimante: Case Number 09-00314 Robert J. lafrate. indMduaily and as a Trustee of ttie RJ and MD iafrato Family Tmst Mtohelto D. lafrate, individuaily and as a Tnjstse of the R J and MD Iafrato Family Tmst Name of ttie Reaoondento: Hearing Stte: San Diego, CalHbmia Wachovto Securities. LLC Robert Aton Wetter Natore of the Disputo: Customers vs. Member and Ass

Award FINRA Dtopute Reeolution in ttie Matter of the Art)ttratton Between: Name of ttie Ctoimante Case Number 08-01179 J. Hoibrook. inc. James B. Wiiiard TTEE of Beveriy Hudson Name of the Reaoondent Hearing S'rte: Reno. Nevada Homor, Townsend & Kent. inc. Natore of the Diaputo: Customere vs. Member REPRESENTATION OF PARTIES Ctoimante, J. Hoibrook, inc. CHolbrook^ and James B. Wiiiard TTEE of Beveriy Hudson (^/Viitord'^, hereinafter colle

AWARD FINRA Dtoputo Resolution In the Matter of the Arbttration Between: Namea of Claimante Brian Annstrong and Shawndl L. HatfiekJ vs. Caae Number 08-00737 IHearingStte: Dallas, Texaa Names of Respondente WilltomBuricRosentiial, Julto Ann Rosenthal, and Rosenthal Retirement l^anning, L.P. And Names of Counter-Ctolmante WUIIam Burt( IRosenthal and Julie Ann Rosenthal va. Names of Counter-Resoondente Brian Annsbong and

stipulated Award RNRA Dtepute Reeolution In the Matter of the Aristtratton Between: Name of ttie Ctotoiant Caee Number 08-04982 SMH Capital Ina Name of ttie Reaoondent Hearino SHe: Boca Raton, Ftorida Samuel Alan Rutti Nature of ttie Dispute: Member vs. Assoctoted Person. REPRESENTATION OF PARTIES For SMH Capital Ina, herekiafter reigned to as "Ctoknant": Peter Welto, Esq., [)oyte, Restrspo, Harvln & Robblns, LLP., Houston, Texas. Samuel

Award FINRA Dtoputo Reeolution In ttie Matter of ttie Aristtratton Between: Namaa of ttie Cterimanto Case Number. 09-01924 Victoria A. Carey Paul F. Carey Name of ttie Respondent Hearing SHe: Ratoigh. Nortti Carolina Genworth Financtol Securitiee Corp. Natore ofthe Dtoputo: Cuetomer ve. Member. RSPRE9ENTAT19N 9F PARTIK For Victoria A. Carey (V. Carey^ and Paul F. Carey fP. Caray^, hereinaftor coHectively referred to aa "Claimanto": Andrew

Award FINRA Dtoputo Reeolution In the Matter of the Artittration Between: Name of ttie Ctoknant Case Number. 09-02659 Paulette Resnick, Individually and Pautotte Reentok IRA and SEP NamflQfthftRasDondent HftWlrW Site; Boca Raton, Ftorida Cttigroup Global Mariceto, Inc. Nature of ttie Disputo: Customer vs. Member. REPRESENTATION OF PARTIES For Paulette Resntok IndMduaHy and Pautotte Resntok IRA and SEP, hersinaftor refened to aa "CtaimanT

AWARD FINRA Dtoputo RMOIutlon In the Matter of tha Art)itratton Between: UlameaofCtetoianto Lori Caden and Wanen Marie Friedman vs. CaseNumtier 09-01147 Hearing Site: Loe Angetoe, CalHbmia flames of Reepondento Investment Security Corporation, Heller Capitol Resources Financtol and Insurance Servlcea, Inc., and Gregory Sandor Heltor MATURE QF THE PBPUTE Customers vs. Memt)er, Non-Memt)er, and Assoctoted Person RgPRgSgMTATIQM OP PA

Stiputotod Award FINRA Dtoputo Reedutlon to ttie Matterof ttie Aristtration Between: Name of ttie Ctotoiant Case Number 09-02142 Wachovto Securittes, LLC Name of ttie Respondent Hearing Site: Los Anoetes. CaHfbmto LanyM. Schnaid ftators of ttis Dispute: Member vs. Associated Person Claimant. Wtehovta Securities, LLC, hsrstostter referred to ss "Claimanf: Tlmottiy N. WHI, Eeq., Atoert & WW. LLP, Tonance, CaHfomto. Reepondent, Larry M. SchnaU,

Award FINRA Dtoputo Reeolution In the Matter of the Arbttration Between: Claimant Case Number 08-03839 Tavalyn J, Crim F^fBPOTiffnte Hsaring SHe: Porttond, Oregon Steven Dorman Fox Scott Rowe McMulHn Chariee Schwab & Co., Ina Natore ofthe Dtoputo: Customer vs. Member and Aeeodated Persons REPRESEMTATION OF PARTIES Ctoimsnt Tavalyn J. Crim, hereinafter referred to as "Ctoimsnf: Grsgory L. Powell, Esq., Foster Pepper LLP, Portlend, Oreg