AWARD FINRA DISPUTE RESOLUnON In the Matter of the Aibitratron Between: Santander Securities Corporation vs. Juan Javier Maidonado Case Number: 08-00492 SITUS: San Juan, Puerto Rico NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES For Santander Securities Corporation, hereinafler known as "Claimanr: Uoyd Schwed, Esq. and Debra A. Jenlcs, Esq., Schwed MoGlnley Kahle, Palm Beach Gardens, Florida. Juan Javier Maidonado. her

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Charies Kromer vs. Case Number: 07-02280 Hearing Site: Cincinnati. Ohio Name of Respondent Fifth Third Securities, Inc. NATURE OF THE DiSPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Charles Kromer ("Claimant") was represented by Megan E. Claris, Esq. and Jon B. Allison, Esq., Freking & Betz, LLC, Cincinnati, Ohio. Fifth Third

stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03131 Smith Barney, a Division of Citigroup Global Markets, Inc., a New York Corporation Name of the Respondent IHearina Site: Boca Raton, Florida Louis M. Gdudio Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Smith Barney, a Division of Citigroup Global Markets, Inc., a New York Corpora

Stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 07-03610 Charies Schwab & Co., Inc. Respondent Hearing Site: Seattle, Washington Leigh Meicher Patten Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant, Charies Schwab & Co.. Inc. ("Schwab"), hereinafter refened to as "Claimant": Richard A. Karoly, Esq., Charies Schwab & Co., Inc., San Francisco, Califomla Re

STIPULATED AWARD FINRA Diaputa Reaolution In tlie Matter of tlie Arbitration Between: Name of Claimant PatriclcJ. Quinn vs. Case Number: 08-00350 Hearing Site: Chicago, Illinois Names of Respondents MF Global Inc. and Steplien Grady NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person Patrick J. Quinn ("Claimant") appeared pre se. MF Global Inc. ("MFG") and Stepiien Grady ("Grad/). iiereinafler collectively refened to

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00581 Pointe Capital, Inc., ("Claimant") vs. Arthur Anthony Gerome, ("Respondent") ATTORNEYS: For Claimant appeared Daniel R. Levene, Boca Raton. FL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 29. 2008 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed pursuant to an empl

NYSE ARCA 115 Sansome Street San Frandsco> CA 94104 In The Matter OfTtie Arbitration Between: Herbert A. Thomas and Marcia M. Thomas Claimants V. Charles Schwab & Co., Inc. Respondent N^E Area CASE #: 06-5004 DECISION The undersigned Arbitrator, having read and considered the Claim submitted by Claimants, the Answer of the Respondent, and the Rebuttal of the Claimants, hereby renders the fbilowing Decision pursuant to Rule 12 of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-01866 Venna Stubbs and Gerald Stubbs Respondente Hearina Site: Dallas, Texas A.G. Edwards & Sons, Inc. Banc of America Investment Services, Inc. Brent S. Lemons Nature of the Dispute: Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Claimants Venna Stubbs and Gerald Stubbs. hereinafter coliectively refened to as "Claima

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 07-01893 H. George and Angellka Lundburg Lola D. Thomas Trust HGL ConsuKlng/Research, Ltd. Respondents Hearing Site: Honolulu, Hawaii Morgan Stanley & Co. Incorporated Paul Saferstein Robert M. Tung Charles N. Sebrell Paul C. Loo Susan M. Lane Richard M. Mosko, Sr. Dwayne T. Mukai Nature of the Dispute: Customers vs. Member and

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 06-00111 Estate of David Roberts Respondent Hearina Site: Las Vegas, Nevada UBS Financial Sen/ices Inc. Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Estate of David Roberts, hereinafter referred to as "Claimant": Jerry L. Colclazier, Esq., Colciazier & Associates, Seminole, Oklahoma Respondent, UBS Financial Sen/ice