Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-01491 Crystal L. Phalen BradA. Phalen ChattW. Cottle Jennifer M. Cottle Respondente Hearing Site: Dallas, Texas World Group Securities. Inc. James Wayne Alldredge Gary Charles Farmer Charles Arnold Carter Robert Vincent Newman Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Cla

Award HNRA Dtepute Reaolulion in the Matter of the Arbitration Between: Name of the Claimant Case Number. 09-01339 Oppenhelmer & Co. inc. Name of the Reaoondent Hearino Site: LAS Angetes, CalHomte Elyahou Asherian Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant Oppenhelmer & Co. Inc. hereinafter referred to as "Oppenhelmer^: Mitchell Albert, Esq.. Albert & WHI, LLP, Tonanoa, Califbmia Respondent Elyahou Asher

Award FINRA DIaputo Resolution in the Matter of the Arbitration Between: Name of ttie Claimant: Case Number 08-00450 Raymond James & Associates, Inc. Name of the Respondent: Hearing Site: Los Angeles, California Robert A. Lot)el Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Kelli Bullington, Esq., Raymond James & Associates, inc.,

Award RNRA DIaputo Rasdutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number, 08^1325 Olivia E. Hennan Name of the Raaoondents Hearino Site: San Francisco, Callfbmia Charies Schwab & Co., Inc. Colleen Mary Langs and Marda IHaricer Novicic Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Olivia E. Herman hereinafter referred to as "Claimant": Fredericic Herman,

Award FINRA Disputa Resolution In the Matter of the Arbitration Between: Claimants Case Number 08-01771 Louis Gans Jody Gans Cheryl Gans RasDondents Hearing Site: Los Angeles, Califomla UBS Financial Services Inc. Wedbush Morgan Securities Inc. Wachovia Securities, LLC Debbie Saleh Joseph F. Rubenstein Nature of the Dispute: Customers vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimants, Louis Gans, Jody

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03949 John M. Holloway Name of the Respondent Hearing Site: Birmingham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John M. Holloway, hereinafter referred to as "Claimant": James A. Dunlap, Jr., Esq., James A. Dunlap, Jr. & Associates, LLC, Atlanta, Georgia. For M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Terrance Solomone (Claimant) v. IDX Capital, LLC and IDX Derivatives, LLC (Respondents) Case Number: 08-0250g Hearing Site: New Yori< . New Yort^ Nature of the Dispute: Associated Person vs. Non-Member and Member. REPRESENTATION OF PARTIES Claimant Tenrance Solomone, hereinafter referred to as "Claimant": Jonathan R. Sack, Esq., Sack & Sack, New Yori< , NY. Respondents IDX Cap

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Barbara Myers (Claimant) vs. Gary Goldberg & Co., Inc., and Gary M. Goldberg (Respondents) Case Number: 08-01048 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Barbara Myers hereinafter referred to as "Claimant": Mathew W. Woodruff, Esq., Rich and Intelissano, LLP, New York, NY. Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: HMC International, LLC (Claimant) vs. Broadway Trading, LLC, Schonfeld Securities, LLC, and Michael S. Sedek (Respondents) Case Number: 08-02783 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant HMC International. LLC. hereinafter referred to as "Claimant": Kevin P. Conway, Esq. and Brian K. Cha

Award FINRA DIsputo Resolutlor« In the Matter of the Arbitration Between: Claimant Case Number 08-03900 Gina Theresa D'Alessandro Respondent Hearing Sfte: San Francisco. California ATEL Securities Corporation Natore of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Gina Theresa D'Alessandre hereinafter referred to as "Claimant": Gina D'Alessandro, In Pro Se. Chariotte, North Carolina. Respondent, ATEL Securit