Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Numt)er: 06-03849 Barry A. Ross Respondent Hearing Site: Los Angeles. California Wachovia Securities. LLC Counter-Claimant Wachovia Securities. LLC Counter-Respondent Barry A. Ross Nature of the Dispute: Associated Person vs. Member Member vs. Associated Person REPRESENTATION OF PARTIES Ciaimant/Counter-Respondent. Barry A. Ross, hereinafter

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00097 Stephen J. Kraljic ("Claimant") vs. Charles Schwab & Co., Inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Samuel T. Brannan, Esq., Page Perry, LLC, Atlanta, GA. For Respondent appeared Evelyn A. Christensen, Esq., Keesal, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 6, 2009 CASE SUMMARY; Claimant alleged misrepresent

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00273 Gary N. and Nancy M. Polasek ("Claimants") vs. UBS Financial Services, Inc., ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared Gary N. Polasek, Abbott, TX. For Respondent appeared Randi Perry Spallina, Esq.. UBS Financial Services, Inc., Fort Lauderdale, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 21. 2009 CASE SUMMARY: Claimants alleged conseq

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00577 Carlos E. Cases ("Claimant") vs. Citigroup Global Markets, Inc. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Fort Worth. TX. For Respondent appeared Adam Kauff, Esq., Citigroup Global Markets, Inc., New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 3, 2009 CASE SUMMARY; Claimant alleged that Respondent executed a sell order that he had

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00736 EKN Financial Services, Inc. ("Claimanf) vs. Scott Allan Shapiro ("Respondent") ATTORNEYS: For Claimant appeared Anthony Ottimo, EKN Financial Services. Inc., Woodbury, NY. Respondent Scott Allan Shapiro did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 11. 2009 CASE SUMMARY: Claimant alleged that Respondent is lia

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Theodore Charles Kunz (Claimant) vs. Abel/Noser Corp. (Respondent) Case Number: 08-01521 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Theodore Charies Kunz ("Claimant") appeared pro se. Respondent Abel/Noser Corp. ("Respondent"): David M. Sobel, Esq., Abel/Noser Corp., New York, NY. CASE INFORMATION

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03959 Harold M. Delurey ("Claimant") vs. Merrill Lynch, Pierce. Fenner & Smith, Inc., and David Costa ("Respondents") REPRESENTATION OF PARTIES: Claimant appeared pro se, Clifton Park, NY. For Respondents appeared Katharine M. McGrail, Esq., Krebsbach & Snyder, New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: October 24, 2008 CASE SUMMARY: Claima

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James Anthony Manfredonia (Claimant) vs. Dahlman Rose & Company. LLC, Ernest John Dahlman, III, and Simon Alexander Rose (Respondents) Case Number: 08-04020 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant James Anthony Manfredonia ("Claimant"): Brian S. Kaplan, Esq.. Kasowitz. Torres,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Louis R. Rosenwein and Meredith Reich Rosenwein as Trustee f/b/o Robert Lee Rosenwein (Claimants) v. Janney Montgomery Scott LLC and Ralph Esposito (Respondents) Case Number: 06-01063 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Louis R. Rosenwein ("Rosenwein") and Meredith Reich

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jan Stahl (Claimant) vs. The Concord Equity Group. LLC and Ralph Johnson (Respondents) Case Number: 08-01032 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTiES Claimant Jan Stahl ("Claimant") appeared pro se. Respondent The Concord Equity Group, LLC ("The Concord Group"): George F. Meierhofer, Esq., Be