AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Goodwill Holdings, LDC vs. Case Number: 05-05747 Hearing Site: Houston, Texas Name of Respondent Goldman, Sachs and Company NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Goodwill Holdings, LDC ("Claimant" or "Goodwill Holdings") was represented by Thomas R. Ajamie, Esq.. Ajamie. LLP, Houston. Texas. Goldman, Sachs and C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03290 Patricia A. Gorsid Names of the Respondents Hearina Site: Orlando, FL Pnjdential Equity Group, LLC Richard Geiger Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia A. Gorsld. hereinafter referred to as "Claimant": Allan P. Whitehead, Esq.. Frese, Hansen, Anderson, Anderson,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Joel Kantor, Sue and Joel Kantor, and Brant Kantor (Claimants) vs. E*Trade Securities LLC (Respondent) Case Number: 07-03417 Hearing Site: New York. New YorK Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Joel Kantor ("J. Kantor"), Sue and Joel Kantor ("S. and J. Kantor'), and Brant Kantor ("B. Kantor") hereinafter collectively referred to as "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark Christofaro (Claimant) vs. E^Irade Securities LLC (Respondent) Case Number: 08-00487 Hearing Site: Providence. Rhode Island Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Mark Christofaro hereinafter referred to as "Claimant": Pamela E. Berman. Esq., Adier Pollock & Sheehan P.C. Boston. MA. Respondent E*Trade Securities LLC hereinafter refer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jeffrey Sardis, Lauren Sardis. and JAS Holding Corporation (Claimants) vs. Sofia Franket, Goldman Sachs and Company, and Lehman Brothers, Inc. (Respondents) Case Number: 04-03481 Hearing Site: New York. New York Nature of the Dispute: Customers vs. /Associated Person and Members. REPRESENTATION OF PARTIES Claimants Jeffrey Sardis ("J. Sardis"), Lauren Sardis ("L. Sardis"), and JAS

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Ciaimants: Case Number. 07-02969 George V. Saiovich and Ethel L. Salovich, Tmstees of the Salovich Family Trust U/A dated 11/08/93 Respondents: Hearing Site: Las Vegas. Nevada Merrill Lynch, Pierce, Fenner and Smith Incorporated, Derail S. Uehara, and Johanna C. Martin Natore of the Dispute: Customer v. Member and Associated Pereons REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Vincent J. Berarducci Case Number: 08-01583 Name of the Respondent Optionshouse, Inc. Hearina Site: Ft. Lauderdale, Florida Nature of the Dispute: Customer vs. Member. Vincent J. Berarducci. hereinafter referred to as "Claimant", appeared pro se. For Optionshouse, inc., hereinafter referred to as "Respondent": Lesley G. Smith, Esq., Schopf & Wei

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gregory A. Rutherford, Scott W. Norveii, and Gerald L. Tagge ys. Case Number: 07-03357 IHearlng Site: Omaha. Nebraska Name of Respondent Royal Alliance Associates, Inc. MATURE OF THE DISPUTE Associated Persons vs. Member REPRESENTATION OF PARTIES Gregory A. Rutherford, Scott W. Norveii, and Gerald L. Tagge ("Claimants") were represented by

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert Elliott Hall vs. Case Number: 07-01397 Hearing Site: Chicago, Illinois Name of Respondent Joseph Stevens & Company, Inc. NATURE OF THE DISPUTE Customer vs. Terminated Member REPRESENTATION OF PARTIES Robert Elliott Hall ("Claimant") was represented by Joel J. Bellows, Esq, and Kristen E. Prinz, Esq., Bellows and Bellows, P.C, Chicago, Ill

Award FINRA Dispute Resoiution In the Matter of ttie Arbitration Between: Name of the Claimant Case Number: 07-02917 Gertrude McLean Name of the Respondents Hearing Site: Little Roci< , Arkansas Matthew J. Claris Timothy G. Dumas Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Gertrude McLean, hereinafter referred to as "Claimant": Robert G. McLean. North Little Roc