Award FINRA Dispute Resolution In the Matter of the Arbitration Between: GSI Commerce Solutions. Inc. (Claimant) vs. Lehman Brothers, Inc.. Sanford A. Haber, Neil J. Greenspan. Jeffrey L. Chernick, Joseph L. Arena, and Kurt A. Locher (Respondents) Case Number: 08-02857 JHearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant GSI Commerce Solutions. Inc., hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Andrew I. Walzer (Claimant) vs. Muriel Siebert & Co., Inc.. National Financial Services LLC, Gerard Koske, and Muriel Siebert (Respondents) Case Number: 08-02529 Hearina Site: New York. New York Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimant Andrew I. Walzer hereinafter referred to as "Claimant" appeared pro se. Respondents

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-00688 P. David isenberg Name of the Respondent Hearing Site: Chartotte, North Carolina Synergy Investment Group, LLC Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES For P. David Isenberg. hereinafter referred to as "Claimant": Neal J. Blaher, Esq., Allen Dyer Doppelt Milbrath & Gilchrist, Ortando, Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02477 Oppenhoimer & Co. Inc. Name of the Respondent Hearing Site: Miami. Florida Daniel J. Carriazo Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Cory Zadanowsky, Esq., Zadanowsky & Associates, P.A., Lake Worth, Florida. Daniel J. C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02482 Lance R. BecK Name of the Respondent Hearina Site: Atlanta, Georgia SunTrust Robinson Humphrey, inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Lance R. Beck, hereinafter referred to as "Claimant"; Curtis Carlson, Esq., Carlson & Lewittes, P.A., Miami, Florida and Joseph Alonso, Esq., Broc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jefferies & Company, Inc. (Claimant) vs. John P. Coen (Respondent) Case Number: 09-03263 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Jefferies & Company, Inc., hereinafter referred to as "Claimant": Robert L. Herskovlts, Esq., Gusrae, Kaplan. Bruno & Nusbaum, New York, NY. Respondent John P. Coen hereina

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02330 Jeffrey Marc Falcone (Claimant) vs. Credit Suisse Securities (USA) LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Manhattan Beach, CA. For Respondent appeared Eric Glassman, Esq.. Sacramento, CA and Edwin A. Zipf, Esq., Bressler, Amery & Ross, Florham Park, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 23, 2009 CASE SUMMARY: Claimant alleged that he was unable to redee

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-03552 G. Paul Menyharth Name of the Respondent Hearina Site: San Francisco, CalHbmia UBS Financial Services Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, G. Paul Menyharth hereinafter refened to as "Claimant": G. Paul Menyharth, pro se, San Rafael, Caiifomia Respondent, UBS Financial Services I

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) v. Kevin J. Carroll (Respondent) Case Number: 09-02038 Hearina Site: Hartford. Connecticut Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane and Fischer, Ltd., Chicago, IL.

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-03864 Warren C. Grad. IRA, Lynn H. Grad. IRA. and The Estate of Rena Grad Trust (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES. For Claimants appeared William B. Young. Jr.. Esq., Colling, Gilbert. Wright & Carter, Orlando, FL. For Respondent appeared Kendra S. Canape, Esq.. Keesal, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: June 24.