stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Helen Schabot (Claimant) vs. Wachovia Securities, LLC and Anne Whelan (Respondente) Case Number 08-04273 Hearing Site: Albany, New Yoric Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Helen Schabot ("Claimant"): Richard L. Burstein, Esq., Nolan & Heller. LLP. Albany, NY. Respondente Wachovia Securities, LLC CWa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claudia 8. Srour (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Merrill Lynch & Co., Inc. (Respondents) Case Number 08-04211 Hearina Site: New Yoric. New Yoric Nature of the Dispute: Associated Person vs. Memt>er and Non Memtier. REPRESENTATION OF PARTIES Claimant Claudia S. Srour hereinafter referred to as "Claimant": James 0. Jones, Esq. James C. Jones, P.C, New

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cantor Fitzgerald Securities (Claimant^ vs. Refco Securities, LLC (Respondent) Case Number: 06-02954 Hearina Site: New Yoric, New Yoric Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Cantor Fitzgerald Securities hereinafter refened to as "Claimant": Francis X. Riley. Ill, Esq., Saul Ewing LLP, Princeton, NJ. Respondent Refco Securities, LLC, her

Award RNRA Dispute Resolution In tiie Matter of ttie Arbttration Between: Name of ttw Claimant gflgg NvmlWn 09-04612 Nhu-Ngoc Huynh Name of ttie Respondent Clearing Sfte: Washington, D.G. Princor Rnanctel Sennces Corporation a/k/a The Principal Rnancial Group Nature of the Dispute: Customer vs. Memt)er. REPRESENTATION OF PARTIES Nhu-Ngoc Huynh, hereinafter retened to as "Claimant," appeared pro se. For Princor Rnancial Sen/ices Corporatio

Award FINRA DIaputo Resolution in the Matter of the Ari)ltratton Between: Name of the Claimant £gSfiiJUml2fia 09-02203 Chariotte A. Domitor Names of the Respondente Hearing Site: Chariotte, North Carolina Edward Jones & Co., L.P. Missy Dawn Carison Nature of the Dispute: Customer vs. Member and Associated Person. RePREWrJTATiPN OF PAffTieg For Chariotte A. Domiter, hereinafter retened to as 'CiaimanT: John F. Hanzei, Esq., John F. Hanzel,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 09-00139 Gregory Taylor Gregory Wayne Taylor Ind. Retirement Account Names of the Respondents Hearina Site: OriaiKio, Florida American Heritage Church Finance, Inc. Marie Warren Asplin Richard Charies Hides, Jr. Amy Home Thompson Bryant Forrest Thompson Nature of the Dispute: Customer vs. Member and Associated Person. REPRES

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05511 Daniel J. Burbach (Claimant) vs. i\^errill Lynch, Pierce, Fenner & Smith Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Thousand Oaks, CA. For Respondent appeared Katharine Forster. Esq.. Munger, Tolies & Olson LLP, Los Angeles, CA. NATURE OF DISPUTE: Associated Person v. IVIember DATE FILED: September 22, 2009 CASE SUMMARY: Claimant asserted the following cause of action: compensa

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05448 George H. Derbyshire, TTEE Surviving Settlors Trust and UW G&E Derbyshire Trust (Claimants) vs.TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared George H. Derbyshire, Henderson, NV. For Respondent appeared Catherine L. Luth, TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customers v. iViember DATE FILED: September 15, 2009 CASE SUMMARY: Claimants allege that Respondent

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05245 Tissapeh hiami, an individual (Claimant) vs. Charles Schwab & Co., Inc., a corporation (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Francisco, CA. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. I^ember DATE FILED: September 2, 2009 CASE SUMMARY: Claimant asserted the following causes of action: bre

AWARD FINRA DISPUTE RESOLUUON CASE: 09-05094 Rados Family Limited Partnership (Claimant) vs. Morgan Stanley Smith Barney (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Joram Rados. Forest Hills, NY. For Respondent appeared John Castelly, Esq.. Morgan Stanley Smith Bamey, Purchase, NY. NATURE OF DISPUTE: Custonrer v. Member DATE FILED: August 28. 2009 CASE SUMMARY: Claimant asserted the following cause of action: overpayment of