FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01593 Jeffrey D. Brown {"Claimant") vs. Chase Investment Services Corp, Susan Vanspybrool^, and Lamon Jackson ("Respondents") ATTORNEYS: Claimant appeared Pro se. Garden City, Ml. For Respondents appeared Sheila E. Carson, Esq., In-house Counsel, JP Morgan Chase, N.A.. NewYork. NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 19. 2008 CASE SUMMARY

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kenneth Eugene Dean vs. Case Number: 04-08590 Hearing S'rte: Houston, Texas Names of Respondents l\^errill Lynch, Pierce. Fenner & Smith, Inc. UBS Financial Services, Inc., and Davis M. Denny, il NATURE OF THE DISPUTE Customer vs. Members and Associated Person Kenneth Eugene Dean ("Claimant") appeared pro se. Menill Lynch. Pierce. Fenner & S

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbrtration Between: Claimant Case Number 08-00728 Charies Schwab & Co.. Inc. Respondent Hearing Site: San Francisco, California Amon A. Allahyari Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Charies Schwab & Co.. Inc. ("Schwab"), hereinafter refened to as "Claimant": Michael R. Greco, Esq., Fisher & Phillips LLP, Radnor, Pennsylvania Re

Award FiNRA Dispute Resoiution In the Matter ofthe Arbitration Between: Anthony Maccarone, Antoinette Maccarone, Steven B. Horn, Sr., and Tara Horn (Claimants) vs. Brookstreet Securities Corporation, National Financial Services. LLC, Nomnan Robert Mato, Stanley Clifton Brooks. Scott Stanley Brooks, Julie Brooks Mains, and Troy Gagiiardi (Respondents) Case Number: 07-03486 Hearing Site: New York, New York Nature oT tne Dispute: uustomers vs. iviemoers an

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00442 Citigroup Global Maricets, Inc. ("Claimant") vs. Hal S. Klinger ("Respondent") ATTORNEYS: For Claimant appeared Diane C. Fischer. Esq., Kane & Fischer, Ltd.. Chicago, IL. For Respondent appeared Thomas C. DeVoto, Esq., DeVoto & Benbenek, LLC, St. Louis, MO. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 19. 2008 CASE SUMMARY: Claimant alleged that Respon

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01259 Gary Nanos, ("Claimant") vs. Fklelity Brokerage Sendees LLC, ("Respondent") ATTORNEYS: For Claimant appeared pro se For Respondent appeared in-house counsel Paula M. McManus, ESQ., Boston, MA. NATURE OF DiSPUTE: Customer vs. Member DATE FILED: April 21. 2008 CASE SUMMARY: Claimant alleged that Respondent charged fees in error to his account. Claimant further alleged misrepres

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01406 Citigroup Global Markets, inc. d/b/a Smith Barney Inc., ("Cteimant") vs. Steven Martini, ("Kespondenf) ATTORNEYS; For Claimant appeared trin A. Kowin, Esq., of the firm Lubiner & Schmidt. LLC. Cranford, NJ. Respondent appei^red pro so, Delran, NJ. NATURE OF DISPUTF: Member v. Associated Person DATFRLEnMay2, iiOOO CASE SUMMARY: Claimant alleged that Respondent breached a c

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: James N. Apostle, CPA (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number: 07-03603 Hearing Site: Newark, New Jersey Nature of {neTSIspuIe: Non-iviemoer vs. iviemoer. REPRESENTATION OF PARTIES Claimant James N. Apostle. CPA hereinafter referred to as "Claimant": Mark J. Astarita, Esq., Beam & Astarrta, LLC, Verona, NJ. Respondent UBS Financial Sen/ices, Inc., he

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00747 Kevin T. McNamara ("Claimant") vs. Michael Scott Jacobs and Alan Lawrence Jacobs ("Respondents") ATTORNEYS: Claimant appeared Pro se, Weston, CT. Respondents appeared Pro se, Boca Raton, FL. NATURE OF DISPUTE: Associated Person vs. Associated Person DATE FILED: March 14. 2008 CASE SUMMARY: Claimant alleged that he is owed salary for the period February 1, 2008 through and

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01249 Brendan S. Cooney ("Claimant") vs. BGC Financial, L.P. ("Respondent") ATTORNEYS: For Claimant appeared Sean R. Kelly, Esq., Kraus & Zuchlewski, LLP, New York, NY. For Respondent appeared In-house Counsel, Andrew M. Kofsky, Esq., New York, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: April 23, 2008 CASE SUMMARY: Claimant alleged that Respondent violated New York