AWARD FINRA DISPUTE RESOLUTION CASE: 09-02330 Jeffrey Marc Falcone (Claimant) vs. Credit Suisse Securities (USA) LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Manhattan Beach, CA. For Respondent appeared Eric Glassman, Esq.. Sacramento, CA and Edwin A. Zipf, Esq., Bressler, Amery & Ross, Florham Park, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 23, 2009 CASE SUMMARY: Claimant alleged that he was unable to redee

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-03552 G. Paul Menyharth Name of the Respondent Hearina Site: San Francisco, CalHbmia UBS Financial Services Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, G. Paul Menyharth hereinafter refened to as "Claimant": G. Paul Menyharth, pro se, San Rafael, Caiifomia Respondent, UBS Financial Services I

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) v. Kevin J. Carroll (Respondent) Case Number: 09-02038 Hearina Site: Hartford. Connecticut Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane and Fischer, Ltd., Chicago, IL.

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-03864 Warren C. Grad. IRA, Lynn H. Grad. IRA. and The Estate of Rena Grad Trust (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES. For Claimants appeared William B. Young. Jr.. Esq., Colling, Gilbert. Wright & Carter, Orlando, FL. For Respondent appeared Kendra S. Canape, Esq.. Keesal, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: June 24.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Saxony Securities, Inc. (Claimant) vs. Craig G. Langweiier (Respondent) Case Number: 08-03682 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Saxony Securities, Inc., hereinafter referred to as "Claimant": Donald J. Mehan, Jr., and Christopher T. O'Connor. Moline & Mehan, LLC, SL Louis, MO. Respo

Award FINRA Dispute Resolution In the Matter of the Arbitratbn Between: Name of the Claimant John P. Dancy Names of the Respondents Pershing LLC/Dlv. of DLJ Sec. Corp. Money Concepts Capital Corp. Jason I. Swink Carolina Fami Credit, ACA Case Number: 08-04933 Hearing Site: Chariotte. North Carolina Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For John P. Dancy, hereinafter ref

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 0W)1649 Morgan Stanley & Co., incorporated Name of the Respondent Hearing Site: Tampa, Florida Thomas Marino Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Morgan Stanley & Co., Incorporated, hereinafter refened to as "Claimant": Renan I. Sugarman, Esq., Morgan Stanley & Co., Incorporated, Chicago, Illin

stipulated Award FINRA Dispute Resolution In the Matter of the Arbltretion.Between: Namo of the Claimant Case Number 09-00796 Estate of Peter Roslund Names of the Respondents Hearina Site: Chariotte, North Carolina Stephen Gabriel JP Morgan Chase Nature of the Dispute: Customer vs. Member and Associated Person. REPRgSgltfTA-nOM QP PARTIgS For the Estate of Peter Roslund, hereinafter referred to as "Claimant": David C. Berman, Esq., David

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03561 Racetrac Petroleum, inc. Names of the Respondents Hearina Site: Atlanta, Georgia Bear Stearns & Co., Inc. Bear Stearns Securities Corp. Bear Stearns Asset Management, inc. Ralph Cioffi Richard Marin Ray McGarrigal Matthew Tannin Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESE

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Names of the Claimants Case Number: 08-02618 Nathan Marcadis. individually and as Trustee of the Nathan Marcadis Revocable Living Tmst dated June 5,1996. Names of the Respondents Hearino Site: Cleanwater, FL Citigroup Global Mari< ets. inc. fl\Ua Salomon Smith Barney inc. Lan7 Cuervo, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENT