Award FINRA Disputa Resolution In the Matter of the Arbitration Between: Claimants Case Number 08-01771 Louis Gans Jody Gans Cheryl Gans RasDondents Hearing Site: Los Angeles, Califomla UBS Financial Services Inc. Wedbush Morgan Securities Inc. Wachovia Securities, LLC Debbie Saleh Joseph F. Rubenstein Nature of the Dispute: Customers vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimants, Louis Gans, Jody

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03949 John M. Holloway Name of the Respondent Hearing Site: Birmingham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John M. Holloway, hereinafter referred to as "Claimant": James A. Dunlap, Jr., Esq., James A. Dunlap, Jr. & Associates, LLC, Atlanta, Georgia. For M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Terrance Solomone (Claimant) v. IDX Capital, LLC and IDX Derivatives, LLC (Respondents) Case Number: 08-0250g Hearing Site: New Yori< . New Yort^ Nature of the Dispute: Associated Person vs. Non-Member and Member. REPRESENTATION OF PARTIES Claimant Tenrance Solomone, hereinafter referred to as "Claimant": Jonathan R. Sack, Esq., Sack & Sack, New Yori< , NY. Respondents IDX Cap

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Barbara Myers (Claimant) vs. Gary Goldberg & Co., Inc., and Gary M. Goldberg (Respondents) Case Number: 08-01048 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Barbara Myers hereinafter referred to as "Claimant": Mathew W. Woodruff, Esq., Rich and Intelissano, LLP, New York, NY. Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: HMC International, LLC (Claimant) vs. Broadway Trading, LLC, Schonfeld Securities, LLC, and Michael S. Sedek (Respondents) Case Number: 08-02783 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant HMC International. LLC. hereinafter referred to as "Claimant": Kevin P. Conway, Esq. and Brian K. Cha

Award FINRA DIsputo Resolutlor« In the Matter of the Arbitration Between: Claimant Case Number 08-03900 Gina Theresa D'Alessandro Respondent Hearing Sfte: San Francisco. California ATEL Securities Corporation Natore of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Gina Theresa D'Alessandre hereinafter referred to as "Claimant": Gina D'Alessandro, In Pro Se. Chariotte, North Carolina. Respondent, ATEL Securit

Award FINRA Dteputo Resolution In the Matter of the Ariaitration Between: Claimant Case Number 08-02011 Wells Fargo Investmente, LLC Respondent Hearina Site: Los Angeles. Califomia Ronald L. Rigsby Nature of the Dispute: Member vs. Assocteted Person REPRESENTATION OF PARTIES Claimant. Wells Fargo Investmente, LLC. hereinafter referred to as "Wells Fargo" or Xlaimant": Gregory B. Simon, Esq., Kane & Fischer. Ltd., Chicago, Illinois. Respon

Award FINRA Dteputo Resolution In the Matter of the Arbitration Between: Name of the Claimant American Capital Partners, LLC Name of the Respondent Greg Klement Name of tiie Counter-Ciaimante Greg Ktement Mary Klement Name of the Counter-Respondent American Capital Partnere, LLC Name of the Third-Partv Ciaimante Greg Klement Mary Ktement Name of tiie Third-Partv Respondent Andrew Jonathan Tressler Master Consolidated Case

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of the Claimant Case Number 08-02789 Morgan Stanley & Co. Incorporated Name of the Raaoondent Hearing Site: IJOS Angeles, Califomia Charies A. L.averty Natore of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley & Co. Incorporated hereinafter referred to as "ClaimanT: Patrick J. Folan. Esq., St. John, Wallace. Bren

Award HNRA DIsputs Reedirtion In the Matter of the Arbitration Bebiveen: £!aim£Q& Case Number 08-02352 Val and Ijoreen Pearson JTWROS Rftftpondents Hearina SHe: Phoenbc. Arizona Lawson Financial Corporation Nicholas Lawson Robert W. l.awson Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Val and l^reen Pearson JTWROS, hereinafter coliectively referred to as "Claimants': B. Lance