Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Botkier (Claimant) vs. H. Kenneth Sidel, a/k/a Harold Kenneth Sidel. a/k/a Harold Kenneth Cohen, d/b/a HKC Securities, Inc., and Sidel Group (Respondents) Case Number: 08-00196 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Non-Member, Associated Persons, and Member REPRESENTATION OF PARTIES Claimant Joseph Botkier hereinafter referred to as "Claimant"

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richanj Keith Soucy (Claimant) v. Fidelity Brolcerage Services LLC (Respondent) Case Number: 08-01621 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Richard Keith Soucy hereinafter referred to as "Claimant" appeared pro se. Respondent Fidelity Brol< erage Services LLC hereinafter referred to a

Award FINRA Dispute Resolution In the Matter of the Arisltration Between: Name of the Claimant Case Number: 08-02515 Peari T. Marsh Name of the Respondents Hearina Site: Chariotte, North Carolina Ronald S. Clinard Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Peari T. Marsh, hereinafter referred to as "Claimant": Frederick K. Sharpless, Esq., Sharpless & Stavola, P.A.

Award FINRA Dispute Resolution In the Matter of the Art)itraition Between: Name of the Claimant Case Number: 08-00821 David G. Rademacher Name of the Respondent Hearing Site: New Orleans, Louisiana Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For David G. Rademacher, hereinafter referred to as "Claimant": Gene E. Mitchell, Esq., Liberis & Associates, P.A., Pensacola, Florida. For Morgan

STIPULATED AWARD FINRA Dispute Resolution in ttie Matter of the Arbitration Between: Name of Claimant Brad Kuhlmann vs. Case Number: 08-02928 Hearing Site: Kansas City, Missouri Names of Respondents Liberty Partners Financial Services, LLC, William Nicholas Athas, Kenneth Gregory Bonal. Jr.. and Robert Stephen Glynn Customer vs. Member and Associated Persons Brad Kuhlmann ("Claimanr) was represented by John J. Miller, Esq.. Swanson M

Award FINRA DIsputs Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01231 James R. O'Rorice Respondents Hearina Site: Boulder, Colorado Charles Schwab & Co., Inc. Marie IHaenny Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, James R. O'Rori^e, hereinafter refenred to as "Claimant": Patricia Baldwin, Esq., Baldwin Law Group, Menio Paric, Califomia. Responde

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04655 Cory Zucker, ("Claimant") vs. Citigroup Global Markets, Inc.. ("Respondent") ATTORNEYS: Claimant appeared Pro se. New York, NY. For Respondent appeared Andrew H. Smith. Esq., In-house Counsel, New York. NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: December 8, 2008 CASE SUMMARY: Claimant alleged that his termination with Respondent on October 15, 2007 was par

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03222 William F. Stackpole, ("Claimant") vs. Morgan Keegan & Company, Inc., ("Respondent") ATTORNEYS: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates, LLC. Atlanta. GA. For Respondent appeared John-David H. Thomas, Esq., Bass, Berry & Sims PLC, Nashville. TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 10. 2008 CASE SUMMARY: Cl

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04259 Emery P. Sher, ("Claimant") vs. Stifei, Nicoiaus & Company, Inc., Kirk Gregory Cleiand, and Matthew Lawrence Kyler, ("Respondents") ATTORNEYS: Claimant appeared Pro se, Eagan, MM. For Respondents Stifei, Nicoiaus & Company, Inc., Kiric Gregory Cleiand and Matthew Lawrence Kyler hereinafter referred to as "Respondents" appeared Jeffrey C. Primiano, Esq.. In-house Counsel, Stifei,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wall Street Access Corporation (Claimant) vs. Scott A. Wertheim and CapTmst Financial Advisors (Respondents) Case Number: 07-01535 Hearina Site: New York. New Yori< Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Wall Street Access Corporation hereinafter refen-ed to as "Claimant": Brian J. Neville, Esq.. and Brent A. Burns, Es