Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of tiie Claimant: Case Number 08-03573 Mary C. Wagner Name of the Respondent: Hearing Site: Phoenix, Arizona Michael D. Stebbins Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES Claimant Mary C. Wagner hereinafter referred to as "Claimant": Pro Se, Giendaie, Arizona. Respondent Michael D. Stebbins hereinafter referred to as "Respon

Award FINRA Dispute Resolution in the Matter of the Artaitration Between: Claimant Case Number 08-03169 Larry Martinez ResDondente Hearing Site: San Francisco, California Thomas Seth Rubin Sean Lawrence IHarrison Jeffrey Martin Greeney Troy Neil Rasmusen James Eugene Galio Arthur Jess Aidatz Westcap Securities, Inc. Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Larry

Award FINRA Dispute Resolution in the Matter of the Arisitration Between: Claimant Case Number 08-02547 Dana J. Gribi Respondent Hearing Site: IHouston. Texas Morgan Steniey & Co., incorporated Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Dana J. Gribi, hereinafter refened to as "Claimant": Jacic W. Cunningham, Esq., The Fowler Law Finn, PC, Austin, Texas. Respondent, Morgan Steniey & Co., incorporated, h

Award FINRA Dispute Resdutlon In the Matter of the Arit)ltratlon Between: Name of the Clalmarte Case Number 08-01875 Patricia A. Meyer Robert H. Meysr Family Trust Patrida A. Meyer Survhfors Trust Name of the Reaooixient Hearing Site: Los Angeles, Califomla Morgan Keegan & Company, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Patricia A. Meyer ("Patricia Meyer*), Robert H. Meyer Family Trust ("R.H.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Marion Gail Buchanan and Lori Polen vs. Names of Respondents Sunset Financial Services, Inc. and Bryan S. Behrens Case Number: 08-03507 Hearing Site: Omaha. Nebraska Customers vs. Member and Associated Person Marion Gail Buchanan ("Buchanan") and Lori Polen ("Polen"), hereinafter collectively referred to as "Claimants," were represented by Richard

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01505 EKN Financial Services, Inc. (Claimant) vs. Shahriar Sabi (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Thomas Giugliano. EKN Financial Services. Inc., Woodbury NY. For Respondent appeared Barry Temkin, Esq., Mound, Cotton, Wollan & Greengrass, New York, NY. NATURE OF DISPUTE; Member v. Associated Person DATE FILED: March 18, 2009 CASE SUMMARY: Claimant asserted the folk)wing cause of acti

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02470 Oppenheimer & Co.. Inc. (Claimant) vs. Kurt D. Wallen (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Cory S. Zadanosky, Esq.. Zadanosky & Associates, P.A., Lake Worth. FL. Respondent appeared pro se, Tampa, FL. NATURE OF DISPUTE: Member v. AssociatedTerson DATE FILED: April 9, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. Claim Data

Award Data Award: $10,000.00 Interest: at the rate of 6% per annum from October 21, 2008 to payment of award Costs: $3,500.00 Costs: 5750.00 AWARD: The undersigned arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable tor and shall pay to Claimant compensatory damages of $10,000.00. 2) Respondent is liable for and shall pay to Claimant interest at the rate of 6

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Jeffrey Mattia (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. (Respondent) Case Number: 09-00618 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Joseph Jeffrey Mattia (Xlaimanf): Adam D. Mitzner, Esq., Pavia 8i Harcourt LLP. New York. NY. Respondent Merrill Lynch Pierce Fenner & Smith.

Award FINRA Dispute Resolution in the Matter of the Arisitration Between: Claimant Case Number: 08-03538 Roseleen R. Anderson Respondente Hearing Site: Phoenix, Arizona Charies Schwab & Co., Inc. Michael David Continelli Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Roseleen R. Anderson, hereinafter referred to as "Claimant": Roseleen R. Anderson, Camp Verde, Arizona. Respondente,