AWARD FINRA DISPUTE RESOLUTION CASE: 09-01583 Diane Buchanan as Trustee of the Buchanan Living Trust Dtd 4/26/03 and as Executor of the Estate of Marie P. Buchanan (Claimants) vs. Edward D. Jones and Co., L.P. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Jason T. Dennett, Esq., Carlson and Dennett, P.S.. Seattle, WA. For Respondent appeared Kimber L. Monroe, Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customers v. Member DATE FI

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00274 Prestige Financial Center, Inc., d/b/a Friedman Schnaier and Associates (Claimant) vs. Ronald Cantalupo (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent appeared pro se, New Rochelle, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 16, 2009 CASE SUMMARY: Claimant asserted the follow

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: IHenry A. Zurlo (Claimant) vs. Raymond James Financial Sen/ices, Inc., Joseph A. Galati, Steven Raiola, James R. Pimonte, and Thomas P. Francis (Respondents) Case Number: 05-05229 Hearino Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Henry A. Zurio hereinafter referred to as "Claimant": Nicholas

Award FINRA Dispute Resoiution In the Matter of tiie Art>rtration Between: Claimant Case Number: 08-04754 Credit Suisse Securities (USA) LLC Respondent Hearing Site: Dallas, Texas Investment Hunter, LLC Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant. Credit Suisse Securities (USA) LLC. hereinafter referred to as "Credit Suisse" or "Claimant": Allan N. Taffet. Esq., Duval & Stechenfeld LLP. New Yori(, New Yoric.

Award HNRA Dtoputo Resolution In the Mattarof the Ariaitration Between: Name of the Claimant Case Number 08-02768 Marie Rossel Name of the Respondent Hearing Site: Los Angeles, CalHbmia Menill Lyrtch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Marie Rossel hereinafter referred to as "CiaimanT: Enivin J. Shustek, Esq., Shustek Frost & Partners, San Diego, CalHb

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nanie of the Clainnants Case Number 07-02062 Glen F. Stone Sandra L. Stone Nanne of the Respondent Hearing Site: Dallas, Texas Merrill Lynch. Pierce. Fenner & Smith Incorporated Nature of the Dispute: Customers vs. Memk>er REPRESENTATION OF PARTIES Claimants Glen F. Stone ("G. Stone") and Sandra L. Stone ("S. Stone") hereinafter collectively referred to as "Claim

AWARD FINRA Dispute Resolution In the l\1atter of the Arbitration Between: Name of Claimant Citigroup Global i^^arkets, Inc. vs. Case Number: 08-04913 {Hearing Site: Chicago, llllnois Name of Respondent Robert J. Slowik NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Mari^ets, Inc. ("Claimant" or "Citigroup") was represented by Matthew B. Henneman, Esq. and Jennifer L. Moseley, Esq.. Watt,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02640 Virginia G. Stevens and Ben R. Stevens Names of the Respondents Hearing Site: Birmingham, Alabama Colonial Brokerage, Inc. Gerald Hester Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Virginia G. Stevens ("V. Stevens") and Ben R. Stevens ("B. Stevens"), hereinafter collectiv

AWARD FINRA Dispute Resolution In the (Matter of the Arbitration Between: Name of Claimant / Counter-Respondent ceo Investment Services Corporation vs. Case Number: 08-02227 IHearing Site: Detroit. Michigan Name of Respondent / Counter-Claimant Ismail Jamoua NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES ceo Investment Services Corporation ("CCO" or "Claimant") was represented by David M. Belcher. Esq., a

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gary Brent Mayes, Individually and as Guardian of the Estate of Elwin D. Mayes vs. Case Number: 08-02698 Hearing Site: Houston, Texas Name of Respondent Charles Schwab & Co., Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Gary Brent Mayes ("Mayes"), Individually and as Guardian of the Estate of Elwin D. Mayes ("Es