Award RNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01694 Gregory Q. Glenn Name of the Respondents Hearina Site: Phoenix, Arizona UBS Financial Sen/ices, Inc. Lisa M. Cregan and Amy R. Melner Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Gregory Q. Glenn: Derek C. Anderson, Esq., Michaels, Ward & Rabinovitz, LLP, Bo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-01552 Efficacy Biotech Master Fund Ltd. Respondents Hearina Site: San Diego, Califomia National Financial Services LLC Fidelity Capital Markets Services Nature of the Dispute: Customer vs. Member and Non- Member REPRESENTATiON OF PARTIES Claimant Efficacy Biotech Master Fund Ltd. hereinafter referred to as "Claimant": Andrew R. Dennington, E

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00122 Ganesh Khandpekar. ("Claimant") vs. TD Ameritrade, Inc.. ("Respondent") ATTORNEYS: Claimant appeared pro se, Gary. NC. For Respondent appeared James J. Vihstadt, Esq.. In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 5. 2009 CASE SUMMARY; Claimant alleged unauthorized trading in his account. Claimant further alleged violation of fiduciary duty

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04627 Don F. Stark, ("Claimant") vs. Morgan Keegan & Company, Inc.. ("Respondent") ATTORNEYS: Claimant appeared pro se, Memphis, TN. For Respondent appeared Ryan R. Baker, Esq.. Bass, Berry & Sims PLC, Memphis, TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 5, 2008 CASE SUMMARY: Claimant alleged reckless advice, reckless indifference, and gross negligence regarding his i

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03125 Joel W. Carter as trustee of the Carter Family Trust U/A DTD 06/07/1991. Joel W. Carter, IRA. and Louise Carter, IRA, ("Claimants") vs. Charles Schwab & Co., Inc., ("Respondent") ATTORNEYS: For Claimants appeared Mamie C. Lambert, Esq., David P. Meyer & Associates Co.. LPA. Columbus, OH. For Respondent appeared Audette Paul Morales, Esq., Keesal, Young & Logan, Long Beach, CA.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Antoine Katbe (Claimant) vs. Nicholas Buonocore and Olympia Asset Management Ltd. (Respondents) Case Number: 08-00636 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Antoine Katbe hereinafter referred to as "Claimant": Adam J. Gana, Esq., Napoli Bern Ripka, LLP. New York, NY. Respondents Ni

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Investments. LLC vs. Case Number: 08-02010 Hearing Site: Dallas, Texas Name of Respondent Chris J. Rotan NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments. LLC ("Claimant" or "Wells Fargo") was represented by Thomas A. Volz, Esq. and Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chica

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David Yashon, M.D. vs. Names of Respondents A.G. Edwards & Sons, Inc., a division of Wachovia Securities. LLC, Michael O'Dell, and Brent Maridey Case Number: 08-00824 Hearing Site: Columbus. Ohio NATURE OF THE DISPUTE Customer vs. Terminated Member and Associated Persons REPRESENTATION OF PARTIES David Yashon, M.D. ("Claimanr) appeared pro se

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Irene Ng (Claimant) vs. Scott C. Clark and Merrill Lynch Pierce Fenner & Smith, Inc. (Respondents) Case Number: 08-00003 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Irene Ng hereinafter referred to as "Claimant": Anthony M. Abraham, Esq., Anthony M. Abraham, Esq., P.C., Canmel, NY.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04998 Eric R. Rosenfeld, ("Claimant") vs. E*Trade Securities LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se, Larchmont, NY. 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 Respondent liquidated his account without permission. Claimant maintained that as