Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: John Coates (Claimant) vs. Salomon Grey Financial Corp., Woodstock Financial Group f/k/a Raike Financial Group, and Michael Palmieri (Respondents) Case Number: 07-00023 Hearing Site: New York, New York Nature ofthe Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant John Coates hereinafter referred to as "Claimant": Vincent J. Imbesi, Esq., Av

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Neil Snoep (Claimant) vs. J.P. Morgan Securities, Inc. (Respondent) Case Number: 07-01124 Hearing Site: New York, New York Nature ofthe Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Neil Snoep hereinafter referred to as "Claimant": Ethan Brecher, Esq., Liddle & Robinson, L.L.P.. New York, NY. Respondent J.P. Morgan Securities, Inc., hereinafter referr

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Names of the Claimants Case Number: 05-01724 Geradons, S.L. Salvador Porte Eduardo Kawas Name of the Respondent Hearinq Site: Boca Raton, Florida Goldman Sachs & Co. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Geradons, S.L., Salvador Porte and Eduardo Kawas, hereinafter collectively referred to as "Claimants": Dale Ledbetter, Esq. and J

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mondana Ghazanfari, Claimant v. RJJ Pasadena Securities, Inc. a/k/a Riordan Johnston & Javadizadeh, Inc., Nusheen R. Javadizadeh and Shapour Javadizadeh, Respondents Case Number: 06-04288 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Jonathan W. Evans, Esq. Law Offices of Jonath

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Issa Razzaghi, Claimant v. WM Financial Services, inc. f/k/a/ Griffin Financial Services, and David William Andersen, Respondents Case Number: 07-00410 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Issa Razzaghi ProSe Monrovia, California For Respondents: Richard B. Davis, Es

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Keith A. Kritikal^os and Hollis L. Orvik, Claimants v. UBS Financial Services, inc.. Respondent Case Number: 07-01852 Hearing Site: San Francisco, California Nature ofthe Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Keith A. Kritil^akos San Carlos, California For Respondent: Payne L. Templeton, Esq. UBS Financial Services, Inc. Los Angeles, C

Award FINRA Dispute Resolution in the Matter ofthe Arbitration Between: Elizabeth Trembly, Sande Alessi d/b/a The Casting Couch, Robert S. Williamson and Helene Williamson, Claimants v. Bradford A. Phillips, Lindsey C. Riley, First Allied Securities, Inc., and FAS Holdings, Inc., Respondent Case Number: 05-00581 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member, Non-Member, and Associated Persons REPRESENTATION OF PART

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 07-01027 Margaret Ann Welch Names of the Respondents Hearinq Site: Orlando, FL Morgan Stanley DW, Inc., Robert Alonzo Glover Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Margaret Ann Welch, hereinafter referred to as "Claimant", was represented by Scott L. Silver, Esq. of Blum & Silver, LLP

AWARD FINRA Dispute Resolution in the Matter ofthe Arbitration Between: Name of Claimant Roma Senyl( VS. Names of Respondents Robert Uhr, Broadstreet Securities, Inc., Mary P. Mada, and Stuart G. Burchard Case Number: 06-04860 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Roma Senyk ("Claimant") was represented by Dominic Silvestri, Esq., Dailey & Steam

AWARD FINRA Dispute Resolution in the Matter ofthe Arbitration Between: Names of Claimants Dennis Metter and Donald Matter vs. Case Number 06-00700 Hearing Site: Chicago, Illinois Name of Respondent Wachovia Securities, LLC formeriy d/b/a First Union Securities NATURE OF THE DISPUTE Associated Persons vs. Member REPRESENTATION OF PARTIES Dennis Metter and Donald Metter ("Claimants") were represented by Gregory A. Friedman, Esq. a