AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Libor Slechla TTEE LIbor Slechta Trust UA DTD 3/25/96, and Ruth Slechta, Individually and as Personal Representative of the Estate of Libor Slechta, Deceased vs. Names of Respondents Nick Yetter, Dennis J. Yetter, Yetter & Yetter Investment Group, Pnjdential Securities Incorporated (n/k/a Prudential Equity Group. LLC), and Wachovia Sec

Award fl^g^^lsgu^^esojutjon In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00756 Khalil AbbasI and David Abbasi Name of the Respondent Hearing Site: Atlanta, Georgia E*TRADE Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Khalil AbbasI and David Abbasi, hereinafter collectively referred to as "Claimants", appeared pro se. For EM'RADE Securities LLC, hereinafter referred

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claim^ Lynn M. Mershon vs. Case Number: 07-01847 Hearing Site: Des Moines, Iowa Name of Respondent A.G. Edwards & Sons. Inc. NATURg OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Lynn M. Mershon ("Claimant") was represented by David H. Correll, Esq., Correll Sheerer, Bensen, Engels Galles & Demro. PLC, Cedar Falls, Iowa. A.G. Edwards &

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02871 TTiomas Michael Ferencak Names of the Respondents Hearing Site: New Orleans, Louisiana Scottrade, Inc. Joseph Ciliberti, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas Michael Ferencak, hereinafter refen^d to as "Claimanf: DavkJ L. McGee, Esq., Beggs & Lane,

stipulated Award FINRA Dispute Resolution In tiie Matter of the Arbitration Between: Banc of America Investment Services. Inc. (Claimant) v. Vincent M. Monaco (Respondent) Case Number: 08-00520 Hearino Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, IL.

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Timothy McNamara (Respondent) Case Number: 08-00733 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC. hereinafter referred to as "Claimant": David Ward, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, MA. Respondent Timothy McNamara hereina

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William J. Heffernan (Claimant) vs. Scott Allan Shapiro, Christopher John Barletta, Peter Miluk, ill, and S.W. Bach & Company (Respondents) Case Number: 07-02017 IHearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant William J. IHeffeman ("Claimant"): Erik Groothuis, Esq., and John M. Lundin, Esq..

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02467 Raymond P. Haworth. ("Claimant") vs. UBS Financial Services Inc.. ("Respondent") ATTORNEYS: Claimant appeared pro se, Kelts, Co Meati>, Meath Ireland. For Respondent appeared in-house coimsel Bernard Williams, AGC, Esq., Weeiiawken, NJ. NATURC OF DISPUTE: Customer vs. iWember DATE FILER July 17. 2008 CASE SUMiVIARY. Claimant atieged that Respondent failed to timely transf

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 08-01775 William J. Aste, Jr.. ("Claimant") vs. Charies Schwab & Co., Inc., ("Respondent") ATTORNEYS: For Claimant appeared James J. Aste, Esq.. of the Hariand Law Firm. Eureka. CA. For Respondent appeared Evelyn A. Christensen. Esq.. of the firm Keesal. Young & Logan. Long Beach. CA. NATURE OF DISPUTE: Customer vs. i^ember DATE FILED: May 30. 2008 CASE SUMMARY: Claimant alleged that

Award FINRA Dispute Resolution in the Matter of the Arisltration Between: Ruth Muiholiand vs. TIAA-CREF Individual and institutional Services, LLC Case Number: 08-01133 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Ruth Mulholland hereinafter referred to as "Claimanf appeared pro se. Respondent TIAA-CREF Individual and institutional Services, LLC, hereinafter referred to as "R