Award FINRA Dispute Resolution In the Matter of the Ari3itratlon Between: Name of the Claimant Case Number 06-04252 Michael Stephen Cohen Name of the Respondent Hearing Site: Boca Raton, Florida CISC Worid Maricets Corp. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Michael Stephen Cohen, hereinafter referred to as "Claimant": Jeffrey Cox, Esq., Sallah & Cox LLC, Boca Raton, Florida. For CIBC Worid Marice

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00597 Nigel Roth Names of the Respondents Hearing Site: Boca Raton, Florida Empire Financial Group. Inc. Donald Anthony Wojnowski, Jr. Name of Third Partv Respondent Edward Steven Ratanun Nature of the Dispute: Customer vs. Member and Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Nigel Roth, hereinaft

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael A. Macis vs. Case Number: 08-00534 Hearing Site: Chicago, Illinois Names of Respondents Metropolitan Life Insurance Company and Raymond Shimizu Associated Person vs. Member and Associated Person Michael A. Macis ("Claimanr) was represented by John Dienner, Esq.. Kubasiak. Fylstra, Thorpe & Rotunno, P.C, Chicago, Illinois, until on or about S

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Helene Teper (Claimant) vs. Bella Borg and Barry Scott Sloane (Respondents) Case Number: 07-02209 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Helene Teper hereinafter referred to as "Claimant": John J. Marinan. Esq., John J. Marinan, Esq., Counsellor-at-Law, New Monmouth, NJ. Respondent Bella Borg (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of James Ward (Claimant) vs. Ehrenkrantz King Nussbaum, Inc., and John Susca (Respondents) Case Number: 05-06164 Hearing Site: New Yori^, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Estate of James Ward by April Ward, Executrix, hereinafter referred to as "Claimant": Christopher R. Ross, Esq., Mayer, Ross

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: EKN Financial Sen^ices, Inc. (Claimant) vs. Jazz Singh d/b/a Jason Associates, and Jason Associates, Inc. (Respondents) Case Number: 08-00256 Hearing Site: New Yori^, New Yori< Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant. EKN Financial Services, Inc., hereinafter referred to as "Claimant": Robert M. Bursky, Esq., Law Offices of Robert M. Burs

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: ceo Investment Sen/ices Corp. (Claimant) v. Thomas J. Kilkenny. Jr. (Respondent) Case Number: 07-02607 Hearino Site: New Yori< , New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant CCO Investment Sen/ices Corp., hereinafter referred to as "Claimant": David M. Belcher, Esq. and Christine R. Fitzgerald, Esq.. Belcher, Starr & Fit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Karen Wagner (Claimant) vs. RBC Dain Rauscher, Inc., and Gerald A. Kalish (Respondents) Case Number: 06-04160 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Karen Wagner hereinafter referred to as "Claimant": Bart Heemskerk, Esq., Springfield, MA. Respondents RBC Dain Rauscher, Inc. ("

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) vs. Richard Coloni (Respondent) Case Number: 08-00132 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": Raquel Terrigno, Esq., Oppenheimer & Co., Inc., New York, NY. Previously represented by Cory S. Zadanosky,

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01870 Robert Skrzycki Joan Skrzycki Name of the Respondent Hearing Site: Raleigh. NC Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert Skrzycki and Joan Skrzycki, hereinafter collectively referred to as "Claimants": Daniel R. Flebotte. Esq., Merritt, Flebotte, Wilson, Webb and