FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04433 Jamie K. Page, ("Claimant*') vs. Steven Robert Rosen, ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Granbury, TX. For Respondent appeared Adam Kauff, Esq., Citigroup Global Maricets, Inc., New Yoric, NY. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: November 24, 2008 CASE SUMMARY: Claimant alleged that Respondent made an unsuitable recommen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kals l^aalej (Claimant) vs. Scottrade, Inc. (Respondent) Case Number: 08-01777 Hearino Site: Nevi^ York, New Yori« Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Kais Maalej hereinafter referred to as "Claimant" appeared pro se. Respondent Scottrade, inc.. hereinafter referred to as "Respondent": Ryan M. Blum, Esq., Scottrade, Inc., St. Louis, MO.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Santanu Bhattacharya and Gargi Dasgupta (Claimants) vs. Chicago Investment Group LLC and Mitesh Shere (Respondents) Case Number: 08-02437 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Santanu Bhattacharya ("Bhattacharya") and Gargi Dasgupta ("Dasgupta") hereinafter collectively refen-ed to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Johnston and Clotilda J. Johnston (Claimants) vs. David Lerner and Associates (Respondent) Case Number: 07-03529 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATiON OF PARTIES Claimants Richard Johnston (R. Johnston") and Clotilda J. Johnston ("C. Johnston"), hereinafter collectively referred to as "Claimants": Benjamin Lapin and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Radhakrishnan P. Nair (Claimant) v. UBS Financial Services, Inc. (Respondent) Case Number: 08-01786 Hearina Site: Hartford. Connecticut Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Radhakrishnan P. Nair hereinafter referred to as "Claimant" appeared pro se. Respondent UBS Financial Services. Inc.. hereinafter referred to as "Respondent": E.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Saundra Genoni (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Bradford Shaffer (Respondents) Case Number: 07-02208 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Saundra Genoni hereinafter referred to as "Claimant": Christopher C. Coss, Esq.. Coss & Momjian LLP

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Chase Investment Services Corp. (Claimant) vs. Brian Radoo and NEXT Financial Group. Inc. (Respondents) Case Number: 08-02059 Hearing Site: New York. New Yori^ Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Chase Investment Services Corp.. hereinafter referred to as "Claimant": Thomas J. Cahill, Esq.. Satterlee Steph

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04797 Estate of Barbara D. Whitener, Susan W. Parker. Executor ("Claimanf) vs. Jason Haney and Wachovia Securities. LLC, ("Respondents") REPRESENTATION OF PARTIES: For Claimant appeared Susan W. Parker, Roswell. GA. For Respondents appeared Alan S. Rafterman, Esq., In-house Counsel, Wachovia Securities, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04789 Harriet Pearlman and Alan D. Pearlman JT TEN AMA Account, ("Claimant") vs. NatCity Investments. Inc., ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Alan Pearlman, Boca Raton, FL. For Respondent appeared Joseph S. Simms, Esq., Ulmer & Berne LLP, Cleveland, OH. NATURE OF DISPUTE: Customer v. Member DATE FILED: Decemt>er15. 2008 CASE SUMMARY: Claimant alleged that R

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 08-03655 Richard and Margaret Wassel Names of the Respondents Hearing Site: Oriando, FL Morgan Stanley & Company, Inc. f/k/a Morgan Stanley DW, Inc. Mary Grace Meeker Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard and Margaret Wassel, hereinafter collectively refened to as "