Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nicholas S. Orlando and Michelle Orlando (Claimants) vs. Citigroup Global Markets, Inc., Donald B. Stokes, and Joseph Reap (Respondents) Case Number: 08-02315 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Nicholas S. Orlando and Michelle Orlando hereinafter collectively referred to as "Cla

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04626 Michael and Brenda Hadjigeorgalis, Michael i-iadjigeorgalis, IRA, and Brenda Hadjigeorgalis, IRA, ("Claimants") vs. Banc of America investment Services, Inc., ("Respondent") ATTORNEYS: For Ciaimants appeared Antonios i-iadjigeorgalis, Rutledge. TN. For Respondent appeared John O. Luicanslci. Esq., Wolff & Samson. PC, West Orange, NJ. NATURE OF DiSPUTE: Customers v. Member DATE

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-05002 Howard Winston, ("Claimant") vs. E*Trade Securities LLC, ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Cincinnati, OH. For Respondent appeared John Bersin, In-house Counsel. Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 29, 2008 CASE SUMMARY; Claimant alleged that he sustained losses during the time the Respondent froze his account

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edward J. Levy (Claimant) vs. Trident Partners. Ltd. (Respondent) Case Number: 08-03288 Hearing Site: New Yorl^, New Yorl< Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Edward J. Levy hereinafter referred to as "Claimant": Curtis E. Pew, Esq., Hofstra University Law Clinic, Hempstead, NY. Respondent Trident Partners, Ltd., hereinafter ref

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04581 Stewart Laurie McFadden, ("Claimant") vs. U.S. Bancorp Investments. Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Wheat Ridge, CO. For Respondent appeared William D. Nelson, Esq.. Rothgeriser, Johnson & Lyons, LLP, Denver, CO. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: December 4. 2008 CASE SUMMARY: Claimant alleged that the reason for termination

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00173 Fred Yoshida. Trustee of the Yoshida Trust dated 5/21/2003. ("Claimant") vs. Dustin George Buck and Edward D. Jones, LLP, ("Respondents") ATTORNEYS: Claimant appeared pro se, Santa Clara, CA. For Respondents appeared Dennis J. Capriglione, Esq., In-house Counsel. Edward D. Jones, LLP, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: January 11

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Murphy & Durieu LLP (Claimant) vs. Penson Financial Services, Inc., Hamershtag, Dodeles & Co., LLC, David E. Dodeles, Cindy Dodeles, and Louis Cesario (Respondents) vs. Bear Stearns & Co., Inc., and RBC Dain Rauscher Inc. (Third Party Respondents) Case Number: 07-02662 Hearing Site: New York, New York Nature of the Dispute: Memt)er vs. Associated Persons and Member. REPRESENTATI

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Wachovia Securities, LLC (Claimant) vs. Gregory Ricker (Respondent) Case Number: 08-01606 Hearino Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinafter referred to as "Claimant": Renan I. Sugarman, Esq., Renan Sugarman, P.C, Chicago, IL. Respondent Gregory Ricker hereinafter r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03651 Joseph Gorman Names of the Respondents Hearing Site: Boca Raton, FL Morgan Stanley & Company, Inc. f/k/a Morgan Stanley DW, Inc. Mary Grace Meeker Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph Gorman, hereinafter refen^ to as "Claimanf: Randall C. Place, Esq., The

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gary L. Wilhelm, IRA vs. Name of Respondent Charies Schwab & Company, Inc. Case Number. 08-02118 Hearing Site: Minneapolis, Minnesota NATURE OF Customer vs. Member REPRESENTATION OF PARTIES Gary L. Wilhelm, IRA ("Claimant") was represented by Michael S. MacDonald, Esq., Michael S. MacDonald Law Office, St. Paul, Minnesota. Charles Schwab & Co