Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William Scott (Claimant) vs. UBS Financial Sen/ices, Inc. (Respondent) Case Number: 06-04482 Hearing Site: Newark. New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant William Scott hereinafter referred to as "Claimant": David Burton Brady, Esq., Brady & Con-eaie. LLP. Morristown, NJ. Previously represented by David Burton Brady, Es

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Song Sop Choe (Claimant) vs. Fordham Financial Management, Inc. (Respondent) Case Number: 08-03221 Hearino Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Song Sop Choe hereinafter referred to as "Claimant" appeared pro se. Respondent Fordham Financial Management, Inc., hereinafter referred to as "Respondent": Phy

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Clark C. Coulston and Lucille Coulston JTRWOS (Claimants) vs. Citigroup Global Markets, Inc.. and Jack B. Grubman (Respondents) Case Number: 04-04992 Hearing Site: Philadelphia, Pennsylvania. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Clark C. Coulston ("C. Coulston") and Lucille Coulston ("L. Coulston") JTRWOS, hereinaft

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01052 Investment Professionals, Inc. Respondents Hearing Site: Dallas, Texas Corey Michael McCarty Cary Edward Scheer Counter-Claimants Corey Michael McCarty Cary Edward Scheer Counter-Respondent Investment Professionals, Inc. Nature of the Dispute: Member vs. Associated Persons Associated Persons vs. Member REPRESENTA

Award FINRA Dispute Reaolutlon In the Matter of the Artsitration Between: Name of the Claimant Case Number: 08-02373 Katharine Murphy Name of the Respondent Hearing Site: San Francisco. Califomia Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Katharine Murphy: Richard Pratt, Sante Rosa, Califomia Respondent Charies Schwab & Co., Inc.: Kelly Moynihan, Esq. Keesal, Young & Logan, Long B

Award FINRA Dispute Resolution In ttie Matter of the Arbitration Between: Claimants Case Number. 08-00988 Neil J. Amtz Neil J. Amtz, Custodian for Rio A. Amtz UTMA/WA Kimberly M. Amtz Arntz Family Trust Respondent Hearing Site: Seattle, Washington Raymond James & Associates, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Neil J. Amtz, Neil J. Amtz, Custodian for Rio A. Amtz UTMAAA/A, Kimberiy M.

Award RNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02567 Jerri Curry Name of the Respondents Hearing Site: San Francisco, California Charies Schwab & Co., Inc. and Graham K. Rogney Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jerri Curry: Maureen M. Bryan, Esq.. Scramstad & Bryan, P.C. Martinez, California Respondents, Charles

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04173 H&R Block Financial Advisors, Inc., ("Claimant") vs. Michael J. Parker, ("Respondenf) ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq.. Kane & Fischer, Ltd.. Chicago, IL. Respondent Mrchael J. Parker dki not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 11.2008 CASE SUMMARY: Claimant alleged that Respondent

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04139 Raymond James & Associates, Inc., ("Claimant") vs. Tracy Clifford. ("Respondent") ATTORNEYS: For Claimant appeared Kelii Bullington. Esq.. In-house Counsel, St. Petersburg, FL. Respondent Tracy Clifford did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 10, 2008 CASE SUMMARY: Claimant alleged breach of contract

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04335 Howard Braff. ("Claimant") vs. Christopher Alfredo Collins. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Holtsville, NY. Respondent appeared Pro se, Holbrook, NY. NATURE OF DISPUTE: Associate Person v. Associated Person DATE FILED: November 19, 2008 CASE SUMMARY: Claimant alleged that Respondent owes expenses incurred, and balance pursuant an agreement. Claimant mainta