AWARD FINRA DISPUTE RESOLUTION CASE: 09-01505 EKN Financial Services, Inc. (Claimant) vs. Shahriar Sabi (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Thomas Giugliano. EKN Financial Services. Inc., Woodbury NY. For Respondent appeared Barry Temkin, Esq., Mound, Cotton, Wollan & Greengrass, New York, NY. NATURE OF DISPUTE; Member v. Associated Person DATE FILED: March 18, 2009 CASE SUMMARY: Claimant asserted the folk)wing cause of acti

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02470 Oppenheimer & Co.. Inc. (Claimant) vs. Kurt D. Wallen (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Cory S. Zadanosky, Esq.. Zadanosky & Associates, P.A., Lake Worth. FL. Respondent appeared pro se, Tampa, FL. NATURE OF DISPUTE: Member v. AssociatedTerson DATE FILED: April 9, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. Claim Data

Award Data Award: $10,000.00 Interest: at the rate of 6% per annum from October 21, 2008 to payment of award Costs: $3,500.00 Costs: 5750.00 AWARD: The undersigned arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable tor and shall pay to Claimant compensatory damages of $10,000.00. 2) Respondent is liable for and shall pay to Claimant interest at the rate of 6

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Jeffrey Mattia (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. (Respondent) Case Number: 09-00618 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Joseph Jeffrey Mattia (Xlaimanf): Adam D. Mitzner, Esq., Pavia 8i Harcourt LLP. New York. NY. Respondent Merrill Lynch Pierce Fenner & Smith.

Award FINRA Dispute Resolution in the Matter of the Arisitration Between: Claimant Case Number: 08-03538 Roseleen R. Anderson Respondente Hearing Site: Phoenix, Arizona Charies Schwab & Co., Inc. Michael David Continelli Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Roseleen R. Anderson, hereinafter referred to as "Claimant": Roseleen R. Anderson, Camp Verde, Arizona. Respondente,

Award FINRA DIsputo Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-00545 Worid Trade Financial Corporatton Respondente Hearing Site: Los Angeles, Catifemia Galina Vaytner BZCOM Marinating inc. Nature of the Dispute: Member vs. Customers REPRESENTATION OF PARTIES Claimant, Worid Trade Financial Corporation, hereinafter referred to as "Claimant": W. Scott Lawler. Esq.. Lawlerand Associates, PLC, Temecula, Cali

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Angela K. Chan ResDorKJents Douglas Glen FredericIc Stephanie Pey Chooi GLB Trading, inc. Robert Lechman Gus P. Katsaferos Penson Financial Services, Inc. Cross-Claimante GLB Trading, Inc. Robert l-echman Gus P. Katsafaros Cross-Respondent Douglas Glen Frederlcic Case Number: 08-00949 Hearing Site: Los Angeles, Califomia Nature of

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Chase Investment Services Corp. vs. Case Number: 07-02366 Hearing Site: Indianapolis, Indiana Names of Respondents Fulcrum Securities, Inc. and Thomas Fliclc NATURE OF THg DISPUTE Member vs. Member and Associated Person REPRESENTATION OF PARTIES Chase Investment Services Corp. an affiliate of JP Morgan Chase & Co. ("Claimant" or co

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Jose Antonio Padilla Case Number: 06-04830 Respondents United Securities Alliance, Inc. Michael W. Jones Ronald K. Bloomingkemper USA Holdings, Inc. Patrick Emanuel Sutheriand Ronald Petrinovich Hearing Site: Denver, Colorado Counter-Claimant United Securities Alliance, Inc. Counter-Respondent Jose Antonio Padilla Nature of the Dispute: A

AWARD FINRA Dispute Resolution in the Matter of the Ari^itration Between: Name of Claimant Pamela Whitney vs. Case Number: 08-02325 Hearing Site: Oklahoma City, Oklahoma Names of Respondente Menill Lynch, Pierce, Fenner & Smith, Inc., The Estate of Suzanne Whitney, The Estete of Mary Whitney, and Amber Callaway Customer vs. Member. Customers and Non-Member REPRESENTATION OF PARTIES Pamela Whitney '"Claimant"). The Estete of Suzann