Award FINRA Dispute Resolution In the Mafter of the Arbitration Between: Martin E. Braam (Claimant) vs. GCO Services, LLC. f/k/a Gruntal & Co., and John Fioretti (Respondents) Case Number: 06-03545 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Martin E. Braam hereinafter referred to as "Claimant" appeared pro se. Respondent GCO Services, LLC, f/k

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vincent Zagami (Claimant) vs. William Dacey, Fred Sundin, Merit Capital Associates, Inc., Source Capital Group, Inc., Russell Newton, and Robert Fitzpatricl< (Respondents) Case Number: 04-03792 Hearina Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Persons and Members. REPRESENTATION OF PARTIES Claimant Vincent Zagami hereinafter referred to as "Claimant

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01734 Oppenheimer & Co., Inc. v. Gregg T. lezza (Claimant) vs. Gregg T. lezza (Respondent) ATTORNEYS: For Claimant Oppenheimer & Co., Inc. appeared in-house counsel John T. McGuire, New York, NY Respondent Gregg T. lezza appeared pro se, East Boston, MA NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 7, 2007 CASE SUMMARY: Claimant alleged that Respondent owed $7,144

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: American Capital Partners, LLC (Claimant) vs. Douglas Costabile (Respondent) Case Number: 07-00983 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant American Capital Partners, LLC, hereinafter referred to as "Claimant": Christopher Albanese, Esq., American Capital Partners, LLC, Hauppauge, NY. Respondent Dou

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gus Kyrkostas and Julie Kyrkostas (Claimants) v. UBS Paine Webber, Inc., Morgan Stanley Dean Witter, Inc., Stratis Zaferiou, Theo Zaferiou, Mr. Permut, Mr. Kroft, and Mr. Jenkin (Respondents). Case Number: 04-05847 Hearina Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Gus Kyrkostas ("

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Conard Moose Names of the Respondents Linsco/Private Lender Corporation Dennis Wayne Shidler Case Number: 06-03017 Hearina Site: Chariotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Conard Moose, hereinafter referred to as "Claimant": John F. Hanzel, Esq., Hanzel & Newkirk,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05145 Catherine Henderson Name of the Respondent Hearing Site: Oriando, FL SunTrust Securities Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Catherine Henderson, hereinafter referred to as "Claimant": Philip J. Snyderburn, Esq., Snyderburn, Rishoi & Swann, Maitiand, FL. For SunTrust Securities ("SunTrust")

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John L. Ramsey vs. Case Number: 06-04052 Hearing Site: Indianapolis, Indiana Name of Respondent Edward D. Jones, LLP NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES John L. Ramsey ("Claimant") was represented by James P. Graven, Esq., Toledo, Ohio. Edward D. Jones, LLP ("Respondent") was represented by David J. Simmons, Esq.,

AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Hanris Investor Services, Inc. vs. Case Number: 07-01321 Hearing Site: Chicago. Illinois Names of Respondents Steven J. Zimmemnan and Ryan N. Connelly and Name of Counter-Claimant Ryan N. Connelly vs. Name of Counter-Respondent Harris investor Services. Inc. NATURE OF THE DISPUTE Member vs. Associated Persons REPRESENTATION O

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant v. Thomas G. Hicks, III Respondent Thomas G. Hicks, III. Counter-Claimant v. UBS Financial Services Inc. Counter- Respondent Case Number: 06-03316 Hearina Site: Salt Lake City, Utah Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: (herinafte