AWARD FINRA DISPUTE RESOLUTION CASE: 09-05199 Rohinton 8. Bulsare (Claimant) vs. First Asian Securities Corporation (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Massapequa. NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Associated Pereon v. Member DATE FILED: September 2,2009 CASE SUMMARY: Claimant asserted the foiiowing cause of action: expungement. Claim Date Award Data Claim: $100.00

stipulated Award FINRA Dtepute Resolution in the Matter of the Aristtration Between: Susquehanna Securtties (Claimant) vs. Citedel Derivatives Group, LLC (Respondent) Case Number: 09-01656 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Susquehanna Securities hereinafter referred to as "Ciaimanf: M. Nomian Goidberger, Esq., Ballard Spahr LLP, Philadelphia, PA. Respondent Cttadel De

Award FiNRA Dispute Resolution in the Matter of the Arbitration Between: inking Scharff (Claimant) vs. A.G. Edwards & Sons, Inc., Wachovia Securittes, LLC, Edward Mercier, and Jerry Wingbermuehle (Respondente) Case Number. 09-01421 Hearing Stte: New Yoric, New York Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Irving Scharff hereinafter referred to as "Ciaimanf appeared pro se. Respondente A.G.

Award FINRA Dispute Resolution In the Matter of the Artiitration Between: Royal Alliance Associates. Inc. (Claimant) v. Sherman William Wang and Jacqueline Pme (Respondente) Case Number 09-00389 Hearing Sfte: New Yoric, New Yori« Natore of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Royai Alliance Associates, inc., hereinafter referred to as "Ciaimanf: Gregory M. Curiey, Esq., Royai Alliance Associates, Inc.. New Yo

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Helen Schabot (Claimant) vs. Wachovia Securities, LLC and Anne Whelan (Respondente) Case Number 08-04273 Hearing Site: Albany, New Yoric Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Helen Schabot ("Claimant"): Richard L. Burstein, Esq., Nolan & Heller. LLP. Albany, NY. Respondente Wachovia Securities, LLC CWa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claudia 8. Srour (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. (Respondents) Case Number 08-04211 Hearina Site: New Yoric. New Yoric Nature of the Dispute: Associated Person vs. Memt>er and Non Memtier. REPRESENTATION OF PARTIES Claimant Claudia S. Srour hereinafter referred to as "Claimant": James 0. Jones, Esq. James C. Jones, P.C, New

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cantor Fitzgerald Securities (Claimant^ vs. Refco Securities, LLC (Respondent) Case Number: 06-02954 Hearina Site: New Yoric, New Yoric Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Cantor Fitzgerald Securities hereinafter refened to as "Claimant": Francis X. Riley. Ill, Esq., Saul Ewing LLP, Princeton, NJ. Respondent Refco Securities, LLC, her

Award RNRA Dispute Resolution In tiie Matter of ttie Arbttration Between: Name of ttw Claimant gflgg NvmlWn 09-04612 Nhu-Ngoc Huynh Name of ttie Respondent Clearing Sfte: Washington, D.G. Princor Rnanctel Sennces Corporation a/k/a The Principal Rnancial Group Nature of the Dispute: Customer vs. Memt)er. REPRESENTATION OF PARTIES Nhu-Ngoc Huynh, hereinafter retened to as "Claimant," appeared pro se. For Princor Rnancial Sen/ices Corporatio

Award FINRA DIaputo Resolution in the Matter of the Ari)ltratton Between: Name of the Claimant £gSfiiJUml2fia 09-02203 Chariotte A. Domitor Names of the Respondente Hearing Site: Chariotte, North Carolina Edward Jones & Co., L.P. Missy Dawn Carison Nature of the Dispute: Customer vs. Member and Associated Person. RePREWrJTATiPN OF PAffTieg For Chariotte A. Domiter, hereinafter retened to as 'CiaimanT: John F. Hanzei, Esq., John F. Hanzel,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 09-00139 Gregory Taylor Gregory Wayne Taylor Ind. Retirement Account Names of the Respondents Hearina Site: OriaiKio, Florida American Heritage Church Finance, Inc. Marie Warren Asplin Richard Charies Hides, Jr. Amy Home Thompson Bryant Forrest Thompson Nature of the Dispute: Customer vs. Member and Associated Person. REPRES