FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03634 Rodney J. Glover, ("Claimant") vs. E*Trade Securities LLC, ("Respondent") ATTORNEYS: Claimant appeared Pro se, Los Angeles, CA. For Respondent appeared John Bersin, Esq., In-house Counsel, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 6, 2008 CASE SUMMARY: Ciaimant alleged that Respondent illegally and unjustifiably withheld his funds. Claimant main

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01920 Graham 8. Williamson, ("Ciaimant") vs. Monica Mallioit, Wacliovia Securities, LLC and Prudential Equity Group, LLC ("Respondents") ATTORNEYS: Claimant appeared Pro se, Holland. OH. For Respondent Monica Malfioit appeared William R. Ahern, Esq., Perrysburg, OH. For Wachovia Securities LLC appeared William S. Port, In-house Counsel. St. Louis, MO. For Respondent Prudential Equity G

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03674 Jane E. Ricca, ("Claimant") vs. Fidelity Brokerage Services, LLC, ("Respondent") ATTORNEYS: Claimant appeared Pm se. Forest Hill, NY. For Respondent appeared Paula M. McManus Esq.. In-house Counsel, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 7. 2008 CASE SUMMARY: Claimant alleged that Respondent failed to withdraw the automatic 2006 Minimum Required

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03718 George Hansen and Brenda Hansen, ("Claimants") vs. Edward D. Jones & Co., L.P. and Hugh Carleton Bandy. ("Respondents") ATTORNEYS: Claimants appeared Pro se, Highlands Ranch, CO. For Respondents appeared Kimber L. Monroe, Esq., In-house Counsel, Edward D. Jones &Co.,L.P.. St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: October 9. 2008

AWARD FINRA DISPUTE RESOLUTION in the Matter of the Arbitration Between: Creative Wealth, inc. (Claimant) vs. Wiiiiam John IHorbatuI^, Jr., and Meyers & Associates, LP (Respondents) Case Number: 08-03727 SiTUS: New Yorl< , New Yorl^ NATURE OF DiSPUTE: Non-Member vs. Associated Person and Member REPRESENTATION OF PARTIES: Creative Wealth, Inc., hereinafter referred to as "Claimant": Michael P. Gilmore, Esq., Sims Moss Kline & Davis LLP, Mineola, N

FINRA DISPUTE RESOIXTIO.N AWARD FINRA DISPUTE RESOLUTION CASE: 08-03753 Pointe Capital, Inc., ("Claimant") vs. TB Architecture APC, ("Respondent") ATTORNEYS: For Claimant appeared Marc S. Dobin, Esq., Jupiter, FL. For Respondent appeared Cory B. Wilson, Esq., James Rex Fair, Jr., Natchitoches, LA. NATURE OF DISPUTE: Member vs. Customer DATE FILED: October 14, 2008 CASE SUMMARY: Claimant alleged that Respondent failed to pay amount owed on accoun

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01829 Armodios N. Papagianakis ("Claimant/Counterclaim Respondent") vs. Banc of America Investment Services, Inc. ("Respondent/Counterclaim Claimant") ATTORNEYS: Claimant/Counterclaim Respondent appeared Pro se. Flushing, NY. For Respondent/Counterclaim Claimant appeared Russell D. Francisco. Esq., Wolf & Samson, PC, West Orange. NJ. NATURE OF DISPUTE: Associated Person v. Member '

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03495 Keyur Gada, ("Claimant") vs. Zecco Trading, Inc., (Respondent") ATTORNEYS: Claimant appeared Pro se, Jacksonville, PL. For Respondent appeared Francesco Matteini, Pasadena, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 29. 2008 CASE SUMMARY: Claimant alleged that lie was breached by an illegal practice/misconduct on his account. Claimant maintained that as a

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03572 Gary Neil Kornbluh, ("Claimant") vs. M & T Securities, Inc., ("Respondent") ATTORNEYS: Claimant appeared Pro se, Cazenovia, NY. For Respondent appeared In-house Counsel, Maureen W. Sullivan, Esq., Buffalo, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: October 2, 2008 CASE SUMMARY: Claimant alleged that Respondent withheld compensation. Claimant maintained tha

FINRA DISPUTE RESOLUTION STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 08-01029 Karen A. Wines, ("Claimant") vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated, ("Respondent") ATTORNEYS; For Claimant appeared Jonathan Sack, Esq. of the firm Sack & Sack, New York, NY. For Respondent appeared Christin M. Choi, Esq., Rubin, Fortunate & Harbison, P.C, Paoli, PA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: April 8. 2008 CASE SUMM