Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Margo Piscevich, Marge Piscevich IRA, and Margo Piscevich Profit Sharing Plan, Claimants v. Associated Securities Corp., Patricia F. Meidell, and Laif E. Meidell, Respondents Case Number: 06-02122 Hearino Site: Reno, Nevada Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Thomas C. Bradley, Esq. Sinai, Schroe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Thomas A. Woolman Name of the Respondent USAA Investment Management Company Case Number: 07-00210 Hearing Site: Washington, D.C. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Thomas A. Woolman, hereinafter referred to as "Claimant", appeared pro se. For USAA Investment Management Company ("USAA"), hereinafter referred to

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Donald Wisner vs. Names of Respondents Ehrenkrantz, King, Nussbaum, Inc. a/k/a EKN Financial Services, Inc. and Ahmad Wares Case Number. 06-04581 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Donald Wisner ("Claimant") was represented by Brian J. Masternak, Es

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eric J. Ginzburg vs. Case Number: 06-01546 Hearing Site: Chicago, Illinois Names of Respondents Ameritrade, Inc. and John Peter Ricketts NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Eric J. Ginzburg ("Claimant") appeared pro se. Ameritrade, Inc. ("Ameritrade") and John Peter Ricketts ("Ricketts"),

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Amin Merchant and Apex Trading House, Claimants v. Edward X. So, Charles Schwab & Co., Inc. and Prudential Equity Group, LLC, Respondents Case Number: 03-04728 Hearing Site: San Francisco, Califomia Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: Amin Merchant Concord, NSW Australia For Respondents Charies Schwab &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alfonso Carios Pena 2004 Revocable Living Trust, Alfonso C. Pefia, Dr. Devon G. Pefta in his capacity as attomey-in-fact for Alfonso C. Pefia and as Trustee of the Alfonso Carlos Pefia 2004 Revocable Living Trust, and Tania Hemandez, in her capacity as attomey-in-fact for Alfonso C. Pefia and as Trustee of the Alfonso Carlos Pefia 2004 Revocable Living Trust, Claimants v. GBS Financial

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00175 Edgar Rene Barron Name of the Respondent Hearing Site: Orlando, FL Colonial Brokerage, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Edgar Rene Barron, hereinafter referred to as "Claimant": K. Michael Swann, Esq., Snyderburn, Rishoi & Swann, Maitland, FL. For Colonial Brokerage, Inc. (

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02775 George Luis Salguero Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For George Luis Salguero, hereinafter referred to as "Claimant": William R. Amiong, Esq., Amiong & Amiong, P.A., Fort Lauderdale, Florida

Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Banc of America investment Services, Inc., Claimant v. Javier Ruedas, Respondent Javier Ruedas, Counter-Claimant v. Banc of America Investment Services, Inc., Counter-Respondent Case Number: 06-04210 Hearinq Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Taylor Hinkley (Claimant) v. Reid & Rudiger, LLC, Cliff Ronald Reid, Edward Joseph Rudiger Jr., and Mark Harrison (Respondents) Case Number: 05-04867 Hearing Site: New Yori^, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Joseph Taylor Hinkley, hereinafter referred to as "Claimant": Leon J. Greenspa