Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Traitz (Claimant) v. Merrill Lynch Pierce Fenner & Smith. Inc. (Respondent) Case Number: 06-04042 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Robert Traitz hereinafter referred to as "Claimant": James A. Batson, Esq., Liddle & Robinson, L.L.P, New York, NY. Respondent Merrill Lynch Pie

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael PIckholz (Claimant) vs. ThinkEquity Partners, LLC (Respondent) Case Number: 08-01286 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael PIckholz hereinafter referred to as "Claimant": Howard Meyers, Esq., and Robert Heim, Esq., Meyers & Heim LLP, New York, NY. Respondent ThinkEquity Partners L

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03126 Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Claimant") vs. Michael Cox ("Respondent") ATTORNEYS: For Claimant appeared Rachael Carp, Esq., Rubin, Fortunato & Harbison, P.O., Paoli, PA. Respondent appeared Pro se, Westbury, NY. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: September 4, 2008 CASE SUMMARY: Claimant alleged breach of Promissory Note and

FINRA DISPUTK RESOLLTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03140 OptionsHouse LLC ("Claimant") vs. Anretang Abia ("Respondent") ATTORNEYS: For Claimant appeared Lesley G. Smith, Esq.. Schopt & Weiss LLP, Chicago, IL. For Respondent appeared Jim Walker. Esq.. Jim Walker & Associates, PLLC, Irving. TX NATURE OF DISPUTE: Member vs. Customer DATE FILED; September 5, 2008 CASE SUMMARY: Claimant alleged that by failing to timely cure the debit balan

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02904 Avraham R. Amit ("Claimant") vs. Chase Investment Services Corp. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Reston, VA. For Respondent appeared Sheila E. Carson. Esq., In-house Counsel, New York. NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 14,2008 CASE SUMMARY; Claimant alleged that he sustained monetary losses as a result of being misled by Responde

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03754 Paul Sullivan, ("Claimant") vs. Smith Barney, a division of Citigroup Global Markets. Inc., ("Respondent") ATTORNEYS: For Claimant appeared Scott C. DeLaura, Esq., of the frrm Palumbo & DeLaura. LLC. New Haven, CT. For Respondent appeared In-house counsel Adam Kauff, Esq.. New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: Octobers, 2008 CASE SUMMARY: Claima

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03632 Xian Jun Yang ("Claimant") vs. Westrock Advisors, Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se. Flushing. NY. For Respondent appeared Christopher R. Travis, Esq., Lazare, Potter & Giacovas LLP, New York. NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: Octobers. 2008 CASE SUMMARY; Claimant alleged that Respondent violated professional code of conduct by op

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Irene G. O'Mara (Claimant) vs. Goldman Sachs & Co. (Respondent) Case Number: 08-02899 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Irene G. O'Mara hereinafter referred to as "Claimant": Richard B. Fosher, Esq., Oakes & Fosher, LLC, Bethalto, IL. Respondent Goldman Sachs & Co., hereinafter referred to as "

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02435 William A. Young ("Claimant") vs. Alfred J. Oliva and Harmony Executions Inc. ("Respondents") ATTORNEYS: Claimant appeared Pro se, Fishkill, NY. For Respondents appeared Alfred J. Oliva, New York, NY. NATURE OF DISPUTE: Associated Person v. Member and Associated Person DATE FILED: July 18, 2008 CASE SUMMARY; Claimant alleged money owed pursuant to a partnership agreement.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03100 Jay H. Ryckman ("Claimant") vs. Joseph Stevens & Co., Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Sayreville, NJ. For Respondent appeared Michael C. Farkas, Esq.. New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 3, 2008 CASE SUMMARY; Claimant alleged that Respondent illegally took money from his account. Claimant maintained that as a resu