Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Ventura (Claimant) vs. Royal Alliance Associates, Inc. (Respondent) Case Number: 09-01246 Hearing Site: Albany, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Joseph Ventura hereinafter referred to as "Claimant": Wayne A. Smith, Jr., Esq.. Smith Phllipp. PLLC, Sllngeriands. NY. Respondent Royal Alliance Associates, Inc., h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Victoria Hyman (Claimant) vs. Friedman, Billings, Ramsey & Co., Inc., Dan Ondeck, and Demetri Diavatls (Respondents) vs. Steven Hyman (Third-party Respondent) Case Number: 08-02036 Hearing Site: New York, New York Nature of the Dispute: Initial Claim: Customer vs. Member and Associated Persons Third-party Claim: Member and Associated Persons vs. Customer REPRESENTATION OF PARTIE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter J. Hickey (Claimant) v. Citigroup Global Markets, inc. (Respondent) Case Number: 08-02054 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Peter J. Hickey hereinafter referred to as "Claimant": Jonathan R. Altschuler, Esq., O'Shea Partners LLP, New York. NY. Respondent Citigroup Global Markets, inc., h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Arjent Services, LLC and Arjent US (Claimants) vs. Tejash Brahmbhatt (Respondent) Case Number: 08-04632 Hearino Site: New York, New York Nature of the Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES Claimants Arjent Services, LLC ("Arjent Services") and Arjent US ("Arjent US"), hereinafter collectively referred to as "Claimants": James H. Freeman, Esq

AWARD FINFIA DISPUTE RESOLUTION CASE; 09-01697 Charles Leilman (Claimant) vs. Granta Capital Group LLC (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Gregg Mele, Esq.. Mele & Associates. LLC, Clark. NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: March 26, 2009 CASE SUMMARY: Claimant asserted the following cause of action: erroneous allegations on Form U5. ARBITR

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03505 Oppenheimer & Co.. Inc. (Claimant) vs. David J. Jeromin (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Devin A. Donohue. Esq.. Los Angeles. CA and Diana Sur. Esq.. Oppenheimer & Co.. Inc., New York, NY. Respondent appeared pro se, San Francisco, CA. NATURE OF DISPUTE: Member v. Associated Person DATEFILED: June 10. 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01005 Richard Biake Stickel TTEE Richard B Stickel Revocable Living Trust and Susan H. Stickei TTEE Susan H. Stickel Revocable Living Trust (Claimants) vs. Charies Schwab & Co., inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared William B. Young, Jr.. Esq., Colling, Gilbert, Wright & Carter. Orlando, FL. For Respondent appeared Evelyn C. Best. Esq.. Keesai. Young & Logan, Long Beach, CA. NA

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Dean E. Hart (Claimant) vs. Chase Investment Services, Corp. (Respondent) Case Number: 09-01030 Hearino Site: New York, New Yorl^ Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Dean E. Hart hereinafter referred to as "Claimant" appeared pro se. Respondent Chase Investment Services, Corp. ("CISC"): Sheila E. Carson, Esq., JP Morgan Chase Bank N. A.,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02796 Steven E. Wheeler (Claimant) vs. Charles Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Ryan T. Bakhtiari. Esq.. Aidikoff. Uhl & Bakhtiari, Beverly Hills, CA and Samuel T. Brannan, Esq.. Page Perry. LLC, Atlanta. GA. For Respondent appeared Evelyn A. Christensen. Esq.. Keesai, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: May13. 2009

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Keith Zuclcerberg (Claimant) vs. Meyers Pollock Robbins. Inc. and Euro-Atlantic Securities Inc. (Respondents) Case Number: 09-02434 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Keith Zuckerberg hereinafter referred to as "Claimant" appeared pro se. Respondent Meyers Pollock Robbins, Inc. ("Meyers") did