FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04655 Cory Zucker, ("Claimant") vs. Citigroup Global Markets, Inc.. ("Respondent") ATTORNEYS: Claimant appeared Pro se. New York, NY. For Respondent appeared Andrew H. Smith. Esq., In-house Counsel, New York. NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: December 8, 2008 CASE SUMMARY: Claimant alleged that his termination with Respondent on October 15, 2007 was par

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03222 William F. Stackpole, ("Claimant") vs. Morgan Keegan & Company, Inc., ("Respondent") ATTORNEYS: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates, LLC. Atlanta. GA. For Respondent appeared John-David H. Thomas, Esq., Bass, Berry & Sims PLC, Nashville. TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 10. 2008 CASE SUMMARY: Cl

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04259 Emery P. Sher, ("Claimant") vs. Stifei, Nicoiaus & Company, Inc., Kirk Gregory Cleiand, and Matthew Lawrence Kyler, ("Respondents") ATTORNEYS: Claimant appeared Pro se, Eagan, MM. For Respondents Stifei, Nicoiaus & Company, Inc., Kiric Gregory Cleiand and Matthew Lawrence Kyler hereinafter referred to as "Respondents" appeared Jeffrey C. Primiano, Esq.. In-house Counsel, Stifei,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wall Street Access Corporation (Claimant) vs. Scott A. Wertheim and CapTmst Financial Advisors (Respondents) Case Number: 07-01535 Hearina Site: New York. New Yori< Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Wall Street Access Corporation hereinafter refen-ed to as "Claimant": Brian J. Neville, Esq.. and Brent A. Burns, Es

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: GunnAllen Financial. Inc. (Claimant) vs. Carlos Bonilla and Jamie Diaz (Respondents) Case Number: 07-02629 Hearing Site: New Yorl< , New York Nature of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimant GunnAllen Financial, Inc., hereinafter referred to as "Claimant": Willard R. Knox, Esq., Paduano & Weintraub LLP, New York. NY. Respondents

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Wachovia Securities. LLC (Claimant) vs. William Dahm (Respondent) Case Number: 08-02780 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": Cliff G. Anderson, Esq., Michaels. Ward & Rabinovitz, LLP, Boston, MA. Respondent William Dahm her

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bear, Steams & Co., Inc. (Claimant) vs. UBS Securities LLC (Respondent) Case Number: 07-03484 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Bear Stearns & Co., Inc., hereinafter referred to as "Claimant": Eugene L. Small, Esq., Gibbons P.C. New York, NY. Respondent UBS Securities LLC hereinafter referred to as "Res

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03686 Oppenheimer & Co., Inc., ("Claimant") vs. Caroline Mellema, ("Respondent") ATTORNEYS: For Claimant appeared Raquei Terrigno, Esq., In-house Counsel, New York, NY. For Respondent appeared David A. Weintraub, Esq., David A. Weintraub, P.A., Fort Lauderdale, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: October 8. 2008 CASE SUMMARY: Claimant alleged amount owed

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: American Capital Partners, LLC (Claimant) vs. Jamie Rodriguez (Respondent) Case Number: 08-01302 Hearing Site: New Yoric. New Yorl^ Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant American Capital Partners, LLC, hereinafter referred to as "Claimant": J. Christopher Albanese, Esq.. American Capital Partners, LLC, Hauppauge, NY. Respondent

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03809 Lori IHartglass, ("Claimant") vs. Fidelity Investments Institutional Sen/ices Company Inc. and Fidelity Brolcerage Services LLC, ("Respondents") ATTORNEYS: Claimant appeared Pro se, Weston, FL. For Respondents appeared Erin K. Fair, Esq., In-house Counsel, Boston, MA. NATURE OF DISPUTE: Customer v. Members DATE FILED: October 17, 2008 CASE SUMMARY: Claimant alleged that Respo