FINRA DISPUTE RESOIXTIO.N AWARD FINRA DISPUTE RESOLUTION CASE: 08-03753 Pointe Capital, Inc., ("Claimant") vs. TB Architecture APC, ("Respondent") ATTORNEYS: For Claimant appeared Marc S. Dobin, Esq., Jupiter, FL. For Respondent appeared Cory B. Wilson, Esq., James Rex Fair, Jr., Natchitoches, LA. NATURE OF DISPUTE: Member vs. Customer DATE FILED: October 14, 2008 CASE SUMMARY: Claimant alleged that Respondent failed to pay amount owed on accoun

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01829 Armodios N. Papagianakis ("Claimant/Counterclaim Respondent") vs. Banc of America Investment Services, Inc. ("Respondent/Counterclaim Claimant") ATTORNEYS: Claimant/Counterclaim Respondent appeared Pro se. Flushing, NY. For Respondent/Counterclaim Claimant appeared Russell D. Francisco. Esq., Wolf & Samson, PC, West Orange. NJ. NATURE OF DISPUTE: Associated Person v. Member '

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03495 Keyur Gada, ("Claimant") vs. Zecco Trading, Inc., (Respondent") ATTORNEYS: Claimant appeared Pro se, Jacksonville, PL. For Respondent appeared Francesco Matteini, Pasadena, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 29. 2008 CASE SUMMARY: Claimant alleged that lie was breached by an illegal practice/misconduct on his account. Claimant maintained that as a

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03572 Gary Neil Kornbluh, ("Claimant") vs. M & T Securities, Inc., ("Respondent") ATTORNEYS: Claimant appeared Pro se, Cazenovia, NY. For Respondent appeared In-house Counsel, Maureen W. Sullivan, Esq., Buffalo, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: October 2, 2008 CASE SUMMARY: Claimant alleged that Respondent withheld compensation. Claimant maintained tha

FINRA DISPUTE RESOLUTION STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 08-01029 Karen A. Wines, ("Claimant") vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated, ("Respondent") ATTORNEYS; For Claimant appeared Jonathan Sack, Esq. of the firm Sack & Sack, New York, NY. For Respondent appeared Christin M. Choi, Esq., Rubin, Fortunate & Harbison, P.C, Paoli, PA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: April 8. 2008 CASE SUMM

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David D. Chotkowski (Claimant) vs. RBC Dain Rauscher, Inc. (Respondent) Case Number: 07-02598 Hearino Site: Augusta, Maine Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant David D. Chotkowski hereinafter referred to as "Claimant" appeared pro se. Respondent RBC Dain Rauscher, Inc., hereinafter referred to as "Respondent": Patrick J. Howl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, LLC (Claimant) vs. Thomas G. Franz and Citigroup Global Markets, Inc. d/b/a Smith Bamey (Respondents) Case Number: 08-01679 Hearino Site: New York, New York Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Services, LLC hereinafter referred to as "Claimant": John O. Lukanski. Esq.,

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Trinity Bui (Claimant) vs. D. Wecl^stein & Co.. and Penson Financial Services, Inc. (Respondents) Case Number: 08-00245 Hearing Site: New Yori^, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Trinity Bui hereinafter referred to as "Claimant": Nelson M. Stern, Esq., New Yoric, NY, and Leon Baer Borstein, Esq.. Borstein & Sheinbaum, New Y

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Giselo Selo (Claimant) vs. Robert R. Meredith & Co., Inc. (Respondent) Case Number: 08-01148 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Giselo Selo ("Claimant"): Brian Kennedy, Esq., Law Offices of Brian Kennedy, New York. NY. Respondent Robert R. Meredith & Co., Inc., ("Respondent"): Barbara J. Gle

FINRA DISPUTE RESOLUTION AW.\RD FINRA DISPUTE RESOLUTION CASE: 08-00789 Lea Georges, ("Claimant") vs. Morgan Stanley & Co., Incorporated and George D. Terzakis, ("Respondents") ATTORNEYS: For Claimant appeared J. Samuel Tenenbaum, Dir, Esq., of the Bluhm Legal Clinic at Northwestern IJniversity School of Law, Chicago, IL. For Respondent Morgan Stanley & Co., Incorporated appeared In-house Counsel, Daniel Derechin, Esq., Chicago, IL. Respondent G