Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 06-02734 Michael Waks Name of Respondents Hearing Site: Los Angeles, California Lehman Brothers, Inc. David Goodenough Melody Li Thomas Birk Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Michael Waks hereinafter referred to as "Claimanf: Michael L. Meeks, Esq., Pepper Hamilton

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 01-06400 Robert W. Tarrington Respondents Hearing Site: Los Angeles, California A.G. Edwards & Sons, Inc., John F. Lee, and Laurence M. Forsman Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Robert W. Tarrington, hereinafter referred to as "Claimant": Robert W. Tarrington, Pro Se, Mali

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gerry Kessler vs. Case Number: 08-00724 Hearing Site: St. Louis, Missouri Name of Respondent William Michael Cody NATURE OF THE DISPUTE Customer vs. Associated Person REPRESENTATION OF PARTIES Gerry Kessler ("Claimant") was represented by Howard W. Hirschhorn, CPA, Matawan, New Jersey. William Michael Cody ("Respondent") was represented by R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00457 Bruce Goldmacher Name of the Respondent Hearing Site: Boca Raton, Florida Scott & Stringfellow, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Bruce Goldmacher ("Goldmacher"), hereinafter referred to as "Claimant": Ronald M. Gache. Esq., Broad & Cassel. West Palm Beach, Florida. For Scot

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant IVIartin C. Cooper vs. Name of Respondent Securities Services Network, Inc. Case Number: 07-03155 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Martin C. Cooper ("Claimant") was represented by C. William Bair, Esq., Wagoner & Steinberg, Ltd., Holland, Ohio. Securities Sen/

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 06-05080 Violet M. Wall Violet IVI. Wall Trust Name of the Respondents Hearing Site: Los Angeles, California Citigroup Global IVIarkets Inc. Robert John Leverte, III Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Violet M. Wall and Violet M. Wall Tmst, hereinafter collectively ref

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number 07-02489 Ronald L. Lawrence Janice L. Lawrence Recruiter's Resource, Inc. Name of the Respondent Hearing Site: Los Angeles, Califomia Charies Schwab & Co., Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Ronald L. Lawrence, Janice L. Lawrence and Recruiter's Resource, Inc., hereinafter collectiv

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Delmer Urbanczyk vs. Case Number: 06-05382 Hearing Site: St. Louis, Missouri Names of Respondents Edward D. Jones & Co. L.P. d/b/a Edward Jones, Roger David, A.G. Edwards & Sons, Inc., Marvin Urbanczyk, and Janet Urbanczyk and Name of Counter-Claimant Marvin Urbanczyk vs. Name of Counter-Respondent Delmer Urbanczyk and Name o

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Alberta Sue Murstein, Individually and as Trustee of the Alberta Sue Murstein Revocable Living Tmst dated October 29,1981 vs. Case Number: 07-01428 Hearing Site: St. Louis, Missouri Names of Respondents Citigroup Global Markets, Inc., and Goldman, Kottler, Unell, Pearlstein & Rechtien, L.L.C. NATURE OF THE DISPUTE Customers vs. Member and Non-

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 06-02304 Norman C. Hellerud Name of the Respondents Hearino Site: San DIego, Caliofrnla Neil A. Eisner Bruce D. Oakes Nature of the Dispute: Customer vs. Associated Persons REPRESENTATION OF PARTIES Claimant, Norman C. Hellemd, hereinafter referred to as "Claimant": Patrick N. Keegan, Esq., Keegan, Macaluso & Baker, LLP, San Diego, Cali