FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03259 Solomon Henner. Partner Boundless Enterprises, ("Claimant") vs. E*Trade Securities, LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se, Boynton Beach, FL. For Respondent appeared in-house counsel John Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 11. 2008 CASE SUMMARY: Claimant alleged that Respondent failed to execute an order

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bernard and Meredith Patrusky. Meredith Patrusky and Martin Semels as Trustees of the Glen Oaks Irrevocable Trust II, Meredith Patrusky and George Boronkay as Trustees of the Patrusky Family Trust (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith. Inc., Robert L. Boykoff. and Linda M. Houston (Respondents) Case Number: 08-01407 Hearina Site: New York, New York Nature of the Dis

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Stevens & Company, Inc. (Claimant) v. Joseph Blocken, Cleon R. Cato, Renatto A. Comejo, Mark Dalcollo, Anthony L. Debenedictis, Thomas R. Gallagher, Justin S. Hirschorn. Anthony Johnson, Henry Sanabria, Louis P. Scalise, John Sideris. and Vincent Trapozzano (Respondents) Case Number: 07-03282 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Perso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Martin V. Murphy (Claimant) vs. Bishop Rosen & Co., Inc. (Respondent) Case Number: 07-00447 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Martin V. Murphy hereinafter referred to as "Claimant": George W. Klein, Esq., Law Offices of George W. Klein. Forest Hills, NY Respondent Bishop Rosen & Co., Inc. ("Bishop Ros

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of ttie Claimant Case Nurnbgr 08-02712 Matthew Pawliic Name of the Respondent Hearing Site: Miami, Florida Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. RgPRESEWTA-nOM QF PARTIES Matthew Pawlik, hereinafter referred to as "Claimanf, appeared pro se. For Charies Scliwab & Co., Inc. ("Schwab"), hereinafter reterred to as "Respondent": Mai P.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nama of the Claimant Case Number: 08-00236 Bruce Graves Nqmes of the Respondents Hearino Site: Tampa, Florida Robert Kahne A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION QF PARTIES For Bruce Graves, tiereinafter referred to as "Claimant": Steele T. Williams, Esq., Steele T. Williams, P.A., Sarasota, Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 07-02250 Wachovia Securities, LLC Name of the Respondent Hearing Site: Tampa. Rorlda John A. Kendall Nature of the Dispute: Member va. Associated Person. RgPRgggMTATinM OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant^: Daniel S. Flora, Esq., I-aw Office of Daniel S. Fiore, Arlington, Virginia. For John A. Ke

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00375 Michael 8. Muhlbauer Name of tiie Respondent Hearing Site: Memphis, Tennessee Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For MIciiael S. Muiilbauer, hereinafter referred to as "Claimanf: Naill Falls. Esq., i-alls & Veach, Nashville, Tennessee. for Morgan Keegan & Co., inc., h

Award FINRA Diapute Reeoiution In the Matter of the Arbrtration Between: Names of the Claimants Case Number: 08-00910 Philip Lee Wiilingham Melinda M. Gates Nanrte of the ResDQpdent Hearing Site: BInnlngham, Alabama Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Philip Lee WHIingham CWIIHngham") and Melinda H. Oates ("Dates'), hereinafter collectively referred to as "Claimants': Marie

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-06249 Kathy Turner, individually, and as the Administrator of the Estate of Olivia Frase Names of the Respondents Hearing Srte: Charlotte, North Carolina J. W. Cole Financial, Inc. R.J.Wood John Richard Carlson John D. Turner Jonathan Roberts Financial Group, Inc. Nature of the Dispute: Customer vs. Member and Associated Person