Award FINRA DIsputo Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-00545 Worid Trade Financial Corporatton Respondente Hearing Site: Los Angeles, Catifemia Galina Vaytner BZCOM Marinating inc. Nature of the Dispute: Member vs. Customers REPRESENTATION OF PARTIES Claimant, Worid Trade Financial Corporation, hereinafter referred to as "Claimant": W. Scott Lawler. Esq.. Lawlerand Associates, PLC, Temecula, Cali

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Angela K. Chan ResDorKJents Douglas Glen FredericIc Stephanie Pey Chooi GLB Trading, inc. Robert Lechman Gus P. Katsaferos Penson Financial Services, Inc. Cross-Claimante GLB Trading, Inc. Robert l-echman Gus P. Katsafaros Cross-Respondent Douglas Glen Frederlcic Case Number: 08-00949 Hearing Site: Los Angeles, Califomia Nature of

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Chase Investment Services Corp. vs. Case Number: 07-02366 Hearing Site: Indianapolis, Indiana Names of Respondents Fulcrum Securities, Inc. and Thomas Fliclc NATURE OF THg DISPUTE Member vs. Member and Associated Person REPRESENTATION OF PARTIES Chase Investment Services Corp. an affiliate of JP Morgan Chase & Co. ("Claimant" or co

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Jose Antonio Padilla Case Number: 06-04830 Respondents United Securities Alliance, Inc. Michael W. Jones Ronald K. Bloomingkemper USA Holdings, Inc. Patrick Emanuel Sutheriand Ronald Petrinovich Hearing Site: Denver, Colorado Counter-Claimant United Securities Alliance, Inc. Counter-Respondent Jose Antonio Padilla Nature of the Dispute: A

AWARD FINRA Dispute Resolution in the Matter of the Ari^itration Between: Name of Claimant Pamela Whitney vs. Case Number: 08-02325 Hearing Site: Oklahoma City, Oklahoma Names of Respondente Menill Lynch, Pierce, Fenner & Smith, Inc., The Estate of Suzanne Whitney, The Estete of Mary Whitney, and Amber Callaway Customer vs. Member. Customers and Non-Member REPRESENTATION OF PARTIES Pamela Whitney '"Claimant"). The Estete of Suzann

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00748 Alan J. Evans Names of the Respondente Hearing Site: Boca Raton, Florida Michael A. Bober Ettore D. Ventrice Sanford E. Steinberg Nature of the Dispute: Customer vs. Associated Pereon. REPRESENTATION OF PARTIES For Alan J. Evans, hereinafter referred to as "Claimant": Richard A. Stephens, Esq., Law Offices of Richard Ste

Amended Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 08-04616 Ravindra Sheth Name of the Respondent Hearing Site: Atlanta. Georgia E^Trade Securities LLC Nature of the Oispute: Customer vs. Member. REPRESENTATION OF PARTIES For Claimant Ravindra Sheth ("Sheth"): Emory A. Wyant, Jr., Strong, Stevens & Wyant, Piaymouth Meeting, Pennsylvania until on or atx>ut March 27, 2009; thereaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02040 Satish Rampal. Derek Rampal, and Keith Rampal Name of the Respondent Hearing Site: Ft. Lauderdale, FL Morgan Stanley & Co. Incorporated as successor in interest to Morgan Stenley DW Inc. Name of the Third Partv Respondent Willie J. Brice, Jr. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-00856 Janney Montgomery Scott, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Erez Libschtein Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott, LLC, hereinafter referred to as "Claimant": Amy E. Sparrow, Esq., Stradley Ronon Stevenson & Young, LLC, Philadelphia, Pe

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Names of the Claimants Case Number: 09-00357 James W. Lyman and Judith Lyman Names of the Respondents Hearing Site: Tampa, Florida Paul Marshall American Wealth Management, Inc. Raymond James Financial Services, Inc. Raymond James & Associates, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James W. Lyman