Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Paul E. Roupinian Name of the Respondents UBS Financial Services Inc. John W. Orr Name of the Counter-Claimants UBS Financial Services Inc. John W. Orr Name of the Counter-Respondent Paui E. Roupinian Case Number: 07-02281 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member and Associated Person

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gerald P. Kessler (Claimant) vs. Wachovia Securities, LLC and Paul S. Baker (Respondents) Case Number: 07-01458 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Gerald P. Kessler hereinafter referred to as "Kessler": Harold Semanoff, Esq., Semanoff Onnsby Greenberg &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mariam Nigohoslan (Claimant) vs. Waterhouse Securities a/k/a TD Waterhouse Investor Services, Inc. (Respondent) Case Number: 04-07141 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Mariam Nigohosian ("Claimant"): Kevin P. Conway, Esq., Conway & Conway, New York, NY. Claimant previously appeared pro se. Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ann Woodhouse and the Estate of Melvyn Woodhouse (Claimants) vs. J.P. Turner & Company, L.L.C., Damascus I. Lee, and Berrlnal Chery (Respondents) Case Number: 06-05229 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Ann Woodhouse ("A. Woodhouse") and the Estate of Melvyn Woodhouse by A. Wood

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01526 Richard D. Crandall Name of the Respondent Hearing Site: Oriando, FL Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Richard D. Crandall, hereinafter referred to as "Claimant": Curtis Carison, Esq., Carison & Lewittes, P.A., Miami, FL. For Citigroup Global Market

stipulated Award FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05081 David A. Ossenmacher Name of the Respondent Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For David A. Ossenmacher, hereinafter referred to as "Claimant": John R. Kiefner, Jr., Esq., Kiefner Law Offices, P.A., St. Petersburg, Florida

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02924 Gariand T. Adams, Jr. Name of the Respondent Hearing Site: Atlanta, Georgia Waddell & Reed, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gariand T. Adams, Jr., hereinafter referred to as "Claimant": Milton H. Fried, Jr., Esq., The Hayes Law Firm, P.C, Houston, Texas. For Waddell & Reed, Inc., h

AWARD FINFiA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Victor Tedesco and Ellen Tedesco vs. Names of Respondents Olympia Asset Management, Ltd., Christopher M. Murray, and Michael P. Murphy Case Number: 07-01427 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Victor Tedesco and Ellen Tedesco ("Claimants") w

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants JKG Investment Company, L.P., Betty L. Dillon Trust, through Trustee Betty Dillon, Ray E. Dillon, III, Ray E. Dillon, IV, Janet Duval, Marguerite Dillon, and Jane Bueller vs. Names of Respondents Morgan Stanley DW, Inc. and Morgan Stanley & Company, Inc. Case Number: 06-03776 Hearing Site: Wichita, Kansas NATURE OF THE DISPUTE Customer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Frank Palumbo (Claimant) vs. Bank of America, N.A., a/k/a Bank of America Corporation, Banc of America Investment Services, Inc., Fleet National Bank and The Quick and Reilly Group, Inc., a/k/a Quick and Reiily (Respondents) Case Number. 06-02865 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Members and Non-Members. REPRESENTATION OF PARTIES Clai