Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 07-02896 OptionsHouse, Inc. Name of Respondent Hearing Site: Denver, Colorado Christopher Bateman Counter-Claimant Christopher Bateman Counter-Respondent OptionsHouse, Inc. Nature of the Dispute: l\/lember v. Customer Customer v. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent OptionsHouse, Inc. hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 07-01930 Allyn Pon Name of Respondent Hearing Site: San Diego, California Fimat USA, LLC. Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Allyn Pon: Vincent D. Slaven, Esq., Krause, Kalfayan, Benink & Slavens, San Diego, California Respondent Fimat USA, LLC.: John W. Cotton, Esq., Cotton & Gundzil^, LLP. Los

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03463 Carmit Dragushansky, ("Claimant") vs. Spencer-Winston Securities Corporation ("Respondent") ATTORNEYS: Claimant appeared pro se, North Woodmere, NY. For Respondent appeared in-house counsel Oscar Echman, President, New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: December 6, 2007 CASE SUMMARY: Claimant alleged that Respondent moved funds without authorizat

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 08-00272 Raymond James and Associates, Inc. ("Claimant") vs. John Nysather ("Respondent") ATTORNEYS: For Claimant Raymond James and Associates, Inc., appeared Kelli Bullington, Esq., in- house counsel, (Raymond James and Associates, Inc., St. Petersburg, FL. Respondent appeared Pro se, Oregon, IL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 31, 2008 CASE SUMMAR

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Town Plaza II Investment Ltd. vs. Names of Respondents Cantone Research Inc. and William Abbate, Sr. Names of Claimants Ely Tama and Andrea Tama vs. Names of Respondents Cantone Research. Inc. and William Michael Abbate Case Number: 04-05809 Hearing Site: Southfield. Michigan Consolidated with: Case Number: 04-05788 Heari

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Doris Winbum and Bernice E. Wright vs. Names of Respondents A.G. Edwards & Sons, Inc., Sheny Denise Holley, and Byron Lee Holley Case Number: 07-02499 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customers vs. Member and Associated Persons Doris Winbum ("Winbum") and Bemice E. Wright ("Wright"), hereinafter collectively ref

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants: Case Number: 00-05367 Souad Y. Widmeyer. Harry Iverson, and Audrey Iverson Names of the Respondents: Hearino Site: Los Angeles, California Jeffco Financial Services, San Clemente Securities, Inc., InterFirst Capital Corporation, United Custodial Corporation, Coolie B. Christopher, Thomas H. Sunderiand, Frank Sullivan, Stoney J. Lee, and Jeffrey A

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants: Case Number: 02-03841 Jae C. Kim and Soon J. Kim Names of the Respondents: Hearino Site: Los Angeles, California Daehan Securities. Inc., Rowe H. Park, Yong S. Kim, Sae H. Chung, Jai Y. Son, Young- Jin Lee, and In Dong Oh Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Jae C. Kim and Soon J. Kim,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-01168 Jerry Mote Respondents Hearing Site: Boise, Idaho First Allied Securities, Inc. John F. Cox Joan F. Block Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATiON OF PARTIES Claimant, Jerry Mote, hereinafter referred to as "Claimant": Laurel H. Siddoway, Esq., Randall & Danskin, P.S., Spokane, Washington. Re

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-007g6 John Simon Name of the Respondents Hearing Site: Boca Raton, Florida CIBC Worid Maritets Corp. Jeff Bank Susan Suthertand Arthur Lewis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John Simon, hereinafter referred to as "Claimant": Scott Silver, Esq., Blum & Silve