Award FINRA Dispute Resolution In the Matter of the Arisitration Be^veen; Names of the Claimante Case Number. 09-02171 James V. Hojecki, Diana R. IHojedcl, As Joint Account Holders, James V. IHoJeclef on behalf of hia Traditional IRA and Roth IRA and Diana R. IHojecKi on behalf of her Roth IRA Names of the Respondents Hearing Site: Fort Lauderdale, Florida Calton & Associates, Inc. and Kenneth Popek Nature of the Dispute; Customer

Award FINRA Oisput* R«SQlutfon In the Matter of the Arbitration Between: IMame of \he Claimant Case Number 08-03086 National Securities Corporation Name of the Respondent Hearing Site: Boca Raton, Florida Richard Darquea Nature of the Dispute: Member vs. Associated Person. REPRgSEWTATlON OF PARTIES For National Securities Corporation, hereinafter referred to as "Claimant': Joahua A. Katz, Esq., Sallah & Cox, LLC, Boca Raton, Ftorlda. Rich

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Katy Bekiarides (Claimant) vs. Morgan Keegan and Company, Inc., and James C. Kelsoe, Jr. (Respondents) Case Number: 08-02464 Hearino Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Katy Bekiarides hereinafter referred to as "Claimant": Adam J. Gana, Esq., Napoli Bern RIpka LLP, New York, NY. Respon

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03374 Ira L. Goodman Rev. Trust (Claimant) vs. Charles Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se.. Scottsdale. AZ. For Respondent appeared Mai Klaassen, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 2. 2009 CASE SUMMARY: Claimant asserted the following cause of action: interest charged in error. Claim

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Lloyd Kippley and Edith Kippley vs. Names of Respondents First Republic Group, LLC and Sean Michael Murphy Case Number: 05-05872 Hearing Site: Milwaukee, Wisconsin Customers vs. Member and Associated Person Lloyd Kippley and Edith Kippley ("Claimants") were represented by Bruce D. Oakes, Esq., Oakes and Fosher. LLC, Bethalto, Illinois. First Re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stanley Schneider and Louise Weiner (Claimants) vs. Frank Elmer Rutan, IV (Respondent) Case Number: 09-02113 Hearing Site: New Yori^, New York Nature of the Dispute: Customers vs. Associated Person. REPRESENTATION OF PARTIES Claimants Stanley Schneider ("Schneider") and Louise Weiner ("Weiner"), hereinafter collectively referred to as "Claimants": Kevin P. Conway. Esq., Conway &

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03712 John S. Osier Living Trust, Phyllis M. Osier Living Trust. Phyllis M. Osier, IRA, and Genevieve Webster Davidson Living Trust (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared John Osier, Grosse Pointe Shores, Ml. For Respondent appeared Angela A. Turiano, Esq.. Bressler, Amery & Ross, PC, New York. NY. NATURE OF DISPUTE: Customers v

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00936 Wachovia Securities, LLC (Claimant) vs. Daniel Aho (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group. Inc.. Hazlet, NJ. Respondent appeared pro se, Henderson. NV. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 23. 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. In his

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04074 Robert G. Kurzman and Carol E. Kurzman (Claimants) vs. Deutsche Bank Alex Brown, a Division of Deutsche Bank Securities, Inc., and Eric Fiebert (Respondents) REPRESENTATION OF PARTIES: Claimants appeared pro se. Scarsdale, NY. For Respondents appeared Joshua Klein. Esq.. Duval & Stachenfeld, LLP, New York, NY. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: June 30, 2009 CASE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Michael C. Chrys and Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondents) Case Number: 08-03523 Hearing Site: Albany, New York Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinafter referred to as "Claimant": Leonard Weintraub, Esq., and Jordan D. Becker,