Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03921 Sharon P. Opfer Names of the Respondents Hearing Site: Norfolk, VA LifeMark Securities Corp. Rita Marie Hampton Nature ofthe Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sharon P. Opfer, hereinafter referred to as "Claimant": Jane L. Stafford, Esq. and Benjamin R. Prell, Esq., Stafford + Ass

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Names of the Claimants SunTrust Banks, Inc. SunTrust Capital Markets, Inc. SunTnjst Investment Services, Inc. Name of the Respondent Gary Steven Brochin Case Number: 07-00015 Hearinq Site: Atianta, Georgia Nature of the Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For SunTrust Banks, Inc. ("STB"), SunTrust Capital Markets, Inc.

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Americo Joseph Santelia a/k/a Rich or Rick Santella (Claimant) vs. Sparkle Martin a/k/a Juinine Pettiford (Respondent) Case Number: 07-01964 Hearinq Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES Claimant Americo Joseph Santella a/k/a Rich or Rick Santella hereinafter referred to as "Claimant": Samuel

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kenneth J. Fitzpatrick, M.D. (Claimant) vs. H&R Block Financial Advisors, Inc. (Respondent) Case Number: 06-04865 Hearinc Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Kenneth J. Fitzpatrick, M.D., hereinafter referred to as "Claimant" appeared pro se. Previously represented by Jeanette N. Simone, Esq., Riley Rip

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02070 Robert J. Granger ("Claimant") vs. Wachovia Securities, LLC ("Respondent") ATTORNEYS: Robert J. Granger appeared pro se, Savannah, GA For Wachovia Securities, LLC appeared in-house counsel Beverly Jo Slaughter, Esq., Richmond, VA NATURE OF DISPUTE: Customer v. Member DATE FILED: June 12, 2007 CASE SUMMARY: Claimant alleged error charges. Claimant maintained that due to Re

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 06-00479 Wachovia Securities, LLC, successor in interest to First Union Securities, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Richard E. Rubin Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, successor in interest to First Union Securities, Inc., hereinafter

Award FINIRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 07-01059 Edward Francis Tamas Names of the Respondents Hearinq Site: Atlanta, Georgia Charles Schwab Charles Schwab & Co., Inc. Nature ofthe Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Edward Francis Tamas appeared pro se. For Charles Schwab ("Schwab") and Charles Schwab & Co., Inc. ("CSCI"), h

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Steven Thompson. Claimant v. UBS PaineWebber Inc. n/k/a UBS Financial Services Inc., Respondent Case Number: 06-00618 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: James Jay Seltzer, Esq. Timothy D. Murphy, Esq. Law Offices of James Jay Seltzer Emeryville, California For Respondent: Kathleen

Award FINRA Dispute Resoiution In the Matter ofthe Arbitration Between: Yoland Melik-Hovsepian and Hovesep Melik-Hovsepian, Claimants v. First Allied Securities, Inc., Respondent First Allied Securities, Inc., Counter-Claimant v. Hovesep Melik-Hovsepian, Counter- Respondent Case Number: 97-04443 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member Member v. Customer REPRESENTATION OF PARTIES For Claimants and Coun

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jarrett Owens, Claimant v. TD Ameritrade, Inc., Respondent TD Ameritrade, Inc., Counter-Claimant v. Jarrett Owens, Counter-Respondent Case Number: 07-00649 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member Member v. Customer REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists San Diego, California Fo