Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Ferrucci (Claimant) vs. McLaughlin, Piven, Vogel Securities, Inc., and Lawrence T. Tulenko (Respondents) Case Number: 06-04051 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert Ferrucci hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., Malecki Law, New York, NY. R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Goldsmith & Harris Capital Appreciation LLC (Claimant) vs. Pali Capital, Inc., and Richard Anthony (Respondents) Case Number: 07-00747 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Goldsmith & Harris Capital Appreciation LLC, hereinafter referred to as "Claimant": Evan L. Gordon, Esq., Attor

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Heinz Haenggeli (Claimant) vs. Bathgate Capital Partners, LLC, Steven C. Singer, Bathgate Partners LLC, Steven M. Bathgate, Vicki D. Barone, Richard T. Huebner and NF Clearing, Inc., formerly known as FISERV Securities, Inc. (Respondents) Case Number: 05-06516 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member, Non-Member and Associated Persons.

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Names of the Claimants Case Number: 06-05049 Professional Investment Group, Inc. Stephen Rupp Names of the Respondents Hearing Site: Boca Raton, Florida Viewtrade Securities, Inc. f/k/a Viewtrade Securifies LLC Sean Callahan Brian Herman Jay Noiman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Professional In

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00409 Ferdinand Tranfo Letizia Tranfo Names of the Respondents Hearing Site: Washington, D.C. Westrock Advisors, Inc. Jeffrey Shuster Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ferdinand Tranfo ("F. Tranfo") and Letizia Tranfo ("L. Tranfo"), hereinafter collectively referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06421 Steven J. Dobel Name of the Respondent Hearina Site: New Orleans, Louisiana Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Steven J. Dobel, hereinafter referred to as "Claimant": Edward S. Zusman, Esq., Markun, Zusman and Compton LLP, Pa

Award FINRA Dispute Resolution In tne Matter of the Arbitration Between: Meivin Y.Q. Wong, Claimant v. Wedbush Morgan Securities Inc. and Richard K.F. Au, Respondents Case Number: 03-05404 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customer v. Member and A.*?sociated Person REPRESENTATION OF PARTIES For Claimant: Melvin Y.Q. Wong In Propria Persona Honolulu, Hawaii For Respondents: Gary Holmes, Esq. Wedbush Morgan Securities I

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00797 Wachovia Securities, LLC Name of the Respondent Hearing Site: Atianta, Georgia Jay M. Rottner Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Ronald P. Kane, Esq. and David H. Smith, Esq., Kane & Fischer, Ltd., Chicago, Illinois.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00490 Sushila Patel Name of the Respondent Hearing Site: Atlanta, Georgia E *Trade Securities LLC Name of the Third Partv Respondent Naniben Patel Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sushila Patel, hereinafter referred to as "Claimant": Viren R. Patel, Lawrenceville, Georgia. For E *Trade

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stifel, Nicolaus & Company, Inc. vs. Name of Respondent Cari F. Hyde, Jr. Case Number: 07-01779 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Stifel, Nicolaus & Company, Inc. ("Claimant") was represented by Forrest M. Smith, Esq., Stifel Nicolaus & Company, Inc., St. Louis, Mi