Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Agile Investments, Inc. (Claimant) v. D & D Securities, Inc.. and Solaris Alternative Capital Partners, LP (Respondents) Case Number: 07-03541 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: l^ember of the PHLX vs. Members of the PHLX. REPRESENTATION OF PARTIES Claimant Agile Investments, Inc., hereinafter referred to as "Claimant": David E. Robbins, Esq.. Law Of

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Rosemarie J. Riley (Claimant) vs. Northeast Securities, Inc., and Mark Moskowitz (Respondents) Case Number: 08-00736 Hearing Site: New York, New York NATURE OF DISPUTE: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Rosemarie J. Riley hereinafter referred to as "Claimant": Lauren Topeisohn, Esq., New York. NY. Respondent Northeast Securities, In

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01160 Michael G. Schirk and Susan Jane Van Gee (Claimants) vs. Charles Schwab & Co., inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Samuel T. Brannan, Esq., Page Perry, LLC, Atlanta, GA. For Respondent appeared Evelyn A. Christensen, Esq., Keesai, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: March 3, 2008 CASE SUMMARY: Claimants asserted the followin

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01915 Wachovia Securities, LLC (Claimant) vs. Wiifredo Colon (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 8, 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to repay settl

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Victoria A. Williamson vs. Case Number: 08-02689 Hearing Site: Cleveland, Ohio Names of Respondents Wachovia Securities. LLC, Pnjdentlai Equity Group, LLC, and Monica Malhoit MATURE OF THE DISPUTE Customer vs. Members and Associated Person RgPRESgNTATION OF PARTIES Victoria A. Williamson ("Claimant") was represented by Richard R. Malone, Esq.

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimants Case Number: 07-03507 Lacoe B. Alltop. Sr., c/o Lacoe B. Alltop, Jr., P.O.A. Lacoe B. Alltop, Jr.. Individually John L. Alltop Robert M. Jordan Name of the Respondent Hearina Site: Baltimore, Maryland Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Lacoe B. Alltop, Sr. ("Alltop, Sr."), Lacoe

Award FiNRA Dispute Resolution In the iVIatter of the Arbitration Between: Name of the Claimant Case Number: 08-01106 William Spivey, Executor, Trustee, and Heir of tiie Estate of Lowell D. Adams, and Successor in Interest of Lowell D. Adams Name of tiie Respondents Hearina Site: Atlanta, Georgia Edward D. Jones & Co., LP. Charles Henry Wideman, III Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00158 Nilmaris Negron Cardona Names of the Respondents Hearina Site: San Juan, Puerto Rico UBS Financial Services Incorporated of Puerto Rico David J. Lugo Sanchez and his wife Marian Ramos, both by themselves, and in representation of the conjugal partnership comprised by them Nature of the Dispute: Associated Person vs. Member,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of tine Claimant Case Number 08-01866 Therist E. Tiieroit, Individually and for his IRA Names of the Respondents Hearing Site: New Orieans, Louisiana Morgan Keegan & Company, Inc. Regions Financial Corp. Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Therist E. Theroit, Individually and for his IRA, hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-03217 Wayne Kreisberg Melissa Kreisberg Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley & Co.. Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Wayne Kreisberg and Melissa Kreisberg, hereinafter collectively referred to as "Claimants": Neil B. Solomon, Esq., Neil B. S