Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. David Smith (Respondent) Case Number: 06-04325 Hearina Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Greg Simon, Esq., Kane & Fischer, Ltd., Chicago, IL. Previously repres

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Rosa Portolano (Claimant) vs. East Shore Partners, Inc., Steven Gatto, Harold Garrecht, Anton Gerdes, and Cari DeLucia (Respondents) Case Number: 06-00371 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Rose Portolano hereinafter referred to as "Claimant": James A. Prestiano, Esq.,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02391 David N. Fogg and Jane D. Fogg ("Claimants") vs. John McGovern and UBS Financial Services, Inc. ("Respondents") ATTORNEYS: David N. Fogg and Jane D. Fogg ("Claimants") appeared pro se, Santa Barbara, CA For John McGovern and UBS Financial Services, Inc. ("Respondents") appeared Kathleen Adams, Esq., in-house counsel of UBS Financial Services, Inc., Los Angeles, CA NATURE OF D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Scherrer (Claimant) vs. Brill Securities, Inc. (Respondent) Case Number: 06-02392 Hearina Site: Newarl< , New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Robert Scherrer hereinafter referred to as "Claimant": Richard D. DeVita, Esq., DeVita & Associates, Hobolten, NJ. Respondent Brill Securities, Inc., hereinafter referred to as "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Hartford Financial Holdings, inc., Alan R. Stevenson, Lighthouse Two Corp., Capital Asset Management Ltd., Andrew Trojner, and NKV, Ltd. (Claimants) vs. Bathgate Capital Partners LLC, Steven C. Signer, Bathgate Partners LLC, Steven M. Bathgate, Vicl< i D. Barone, Richard T. Huebner, and NF Clearing, Inc., formerly known as Fiserv Securities, Inc. (Respondents) Case Number: 05-04934

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01386 Oppenheimer & Co., Inc., ("Claimant") vs. Richard A. Schwartz, ("Respondent") ATTORNEYS: Claimant appeared in-house counsel, Raquel Terrigno, Esq., New Yorl^, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 1,2007 CASE SUMMARY: Claimant alleged that Respondent breached a stabilization agreement

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Chaim A. Levin (Claimant) vs. GFI Securities, Inc., GFInet, Inc., Jersey Partners, Inc., and Inter-Dealer Broker, LLC (Respondents) Case Number: 02-03848 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Members and Non-Members. REPRESENTATION OF PARTIES Claimant Chaim A. Levin hereinafter referred to as "Claimant": Jeffrey Liddie, Esq., James A. Bat

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Erich R. Klein (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Douglas E. Woolley (Respondents) Case Number: 07-00121 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Erich R. Klein hereinafter referred to as "Claimant": Fredericl< J. Lanshe, Esq., Lanshe, Lanshe & Colli

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant A. G. Edwards & Sons, Inc. vs. Name of Respondent Heidi L. Rosenberg Case Number: 07-01081 Hearing Site: Des Moines, Iowa NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES A. G. Edwards & Sons, Inc. ("Claimant" or "AGE") was represented by Michael Naccarato, Esq., A. G. Edwards & Sons, Inc., St. Louis, Missouri.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01088 Richard O.K. Oppong Names of the Respondents Hearinq Site: Washington, D.C. E*Trade Securities LLC E*Trade Bank Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Richard O.K. Oppong ("Oppong"), hereinafter referred to as "Claimant": Lee Boothby, Esq., Washington, D.C. For E*Trade Secur