AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Joseph and Rhonda Jensen, Individually and as Trustees for the Jensen Family Living Trust, Jody Jensen, Individually and for the Arthur L. Jensen Trust FBO Jody Allen Jensen Heritage Trust, Jennifer Jensen, Individually and for the Arthur L. Jensen Trust FBO Jennifer Janelle Jensen Heritage Trust, and Arthur L. Jensen, as Trustee for the J

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01186 William H. Westerman, ("Claimant") vs. Wachovia Securities, LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se. Rock Hill, NY. For Respondent appeared in-house counsel David J. Rice, Esq., Richmond, VA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 9, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to cancel orders to sell stocks. Claimant maintaine

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alisa Gabriel (Claimant) vs. Fidelity Brokerage Sen/ices, LLC, Fidelity Investment CO., Fidelity Service Company, Inc., Strategic Advisors, Inc., and John Arena (Respondents) Case Number: 06-03226 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member, Non-Members, and Associated Person. REPRESENTATION OF PARTIES Claimant Alisa Gabriel, hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul Ehrenstein Associates, Inc., and Paul Ehrenstein (Claimants) vs. Bruce Kelly and Nolan Securities Corporation (Respondents) Case Number: 06-04725 Hearing Site: New York, New York Nature of the Dispute: Non-Member and Associated Person vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Paul Ehrenstein Associates, Inc., ("Ehrenstein Associates") and Pa

N.A.S.O. AHARD .^IATIJNAL .^SCC:ATICN CF SECL-RITIZS DEALERS In the Matter of the Acbituracion Between Name of rif^jpipnurat Oppenheiner & Co., Inc. 90-00013 Robert B. Peterson T.J. Raiwy & Sonsr Inc. Bdttjy Ranay In a clajjn filed vrith the National Association of Securities Dealers, Inc. ("HASD") on or about Oecenber 28, 1989, Clainanc OppenhBinar & Co., Inc. ("Oppenheimar") allegad that Raspondsnt Robert Patacson ("Petersan") agreed

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants George Salerno and George and Jeffrey Salerno TLC vs. Case Number: 06-02568 Hearing Site: Dallas, Texas Name of Respondent E*Trade Securities, LLC NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES George Salemo ("G. Salemo") and George and Jeffrey Salerno TLC ("J. Salemo"), hereinafter collectively referred to as "Claiman

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Nicholas Faranso and Michelle Faranso vs. Names of Respondents Anmar K. Sarafa, an individual, and Steward Capital Management, Inc. f/k/a Zaske Sarafa & Associates, Inc. Case Number: 07-00802 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Associated Person and Non-Members REPRESENTATION OF PARTIES Nicholas Faranso

stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02623 Richard D. Riordan Rita M. Riordan Names of the Respondents Hearing Site: Oriando, FL American Municipal Securities Mark K. Donohue Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard D. Riordan and Rita M. Riordan, hereinafter collectively referred to as "Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-02051 Dennis L. Schumacher & Marilyn J. Schumacher TTEES, U/A DTD 09/24/99 Schumacher Family Revocable Trust Schumacher Charitable Unitrust Names of the Respondents Hearinq Site: Columbia, South Carolina Edward Jones, Inc. Edward Jones Trust Company Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PA

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gordon C. Huribert and Patricia Huribert vs. Case Number: 07-00052 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Advest, Inc. and Richard D. Sarachman NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Gordon C. Huribert and Patricia Huribert, hereinafter collectively referred to as "Claimants,