Award FINRA Dispute Resolution In the Matter of the Arbitration Between: National Securities Corporation (Claimant) vs. Antonio Coladonato (Respondent) Case Number: 07-00401 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant National Securities Corporation, hereinafter referred to as "Claimant": James Barbee, Esq., and Mark Roth, Esq., Golbeck Roth, PLLC, Seattle, WA. Respondent A

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03193 Citigroup Global Markets, Inc. ("Claimant") v. Sandy Fliderman ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Josepti D'Elia, Esq., Duane Morris, LLP, New York, NY. Respondent Sandy Fliderman did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Claimant alleged a loss

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Mario and Rosemarie Picinich (Claimants) vs. Morgan Stanley & Co., Inc., Morgan Stanley DW, Inc., and Jeffrey M. Alecci (Respondents) Case Number: 07-01578 Hearing Site: Newark, New Jersey Nature of the Dispute; Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Mario Picinich (M. Picinich) and Rosemarie Picinich ("R. Picinich"), hereinafter collec

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02016 Maria Theresa Blatter Name of the Respondent Hearing Site: San Juan, Puerto Rico Menill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Maria Theresa Blatter, hereinafter referred to as "Claimant": Kevin M. Kinne, Esq., Cain Hibbard Myers & Cook, PC, Pittsfield, Massachu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02242 Edward Bagley Names of the Respondents Hearina Site: Tampa, Florida Northeast Securities, Inc. Max Albert Assenheimer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edward Bagley ("Bagley"), hereinafter referred to as "Claimant": John R. Kiefner, Jr., Esq., Kiefner Law Offices, P

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 03-03099 Steven Vender Name of the Respondent: Hearino Site: Los Angeles, California Lehman Brothers Inc. Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Steven Vender, hereinafter referred to as "Claimant": William F. Davis, Esq., Law Offices of William F. Davis, Pacific Palisades, California Respondent,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael H. Ziegelbaum (Claimant) vs. MarketAxess Corporation (Respondent) Case Number: 07-00131 Hearing Site: New York, New York consolidated with Michael H. Ziegelbaum (Claimant) vs. MarketAxess Holdings, Inc. (Respondent) Case Number: 07-01247 Hearing Site: New York, New York Nature of the Dispute: Case #07-00131: Associated Person vs. Member. Case #07-01247: Associated P

Award FINRA Dispute Resolution in ihe Matter of the Arbitration Between: Stuart Shainlieit (Claimant) vs. Herbert W. Mahler, Mahler & Emerson, Inc., and Brean Murray, Garret & Co., LLC (Respondents) Case Number 07-02933 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Person and Members. REPRESENTATION OF PARTIES Claimant Stuart Shainheit hereinafter referred to as "Claimant": Paul A. Douglas, Esq., Scarsdale, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George D. Busse and Yvonne M. Busse . George D. Busse Tmst, Claimants vs. D.A. Davidson & Co., Respondent Case Number: 05-06525 Hearina Site: Cheyenne. Wyoming Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants George D. Busse and Yvonne M. Busse, George D. Busse Tmst, hereinafter collectively referred to as "Claimants": Lawrence L. Klayman, Esq., K

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Banc of America Investment Services, Inc. vs. Case Number: 07-01940 Hearing Site: Chicago, Illinois Name of Resoondent/Counter-Claimant Kenneth D. Freedman NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant" of "BAI") was represented by R