AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Steven A. Rothstein, Steven A. Rothstein IRA, Nancy Rothstein IRA, Caroline Rothstein. Nancy Rothstein, In her capacity as Administrator of the Estate of Joshua Rothstein, Steven A. Rothstein C/F Natalie Rothstein UGMA/IL, Shelton Sheffemnan. and Craig M. Gould vs. Case Number: 06-04000 Hearing Site: Chicago, Illinois Name of Respondent Mark G

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 07-02067 Dennis Brooks Name of the Respondents: Hearing Site: Seattle, Washington S.W. Bach & Company Adam Sclafani Angel L. Suarez Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant. Dennis Brooks ("Brooks"), hereinafter refened to as "Claimant": Richard D. Brady. Esq., Richard Dent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Pointe Capital, Inc. (Claimant) vs. Nicolas Esteban Arango (Respondent) Case Number: 08-02938 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Pointe Capital, Inc., hereinafter referred to as "Claimant": Daniel R. Levene, Pointe Capital, Inc.. Boca Raton. FL. Respondent Nicolas Esteban Arango hereinafter re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Trustees of the Masonic Hall and Asylum Fund (Claimant) vs. Advest, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondents) Case Number: 08-00568 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant The Trustees of the Masonic Hall and Asylum Fund hereinafter referred to as "Claimant": Jonathan B. F

Award FtNRA Dispute Resolution In the Matter of the Arbitration Between: Michael C. Vanin (Claimant) vs. Wachovia Securities, LLC and Prudential Equity Group, LLC (Respondents) Case Number: 07-03221 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Michael C. Vanin hereinafter referred to as "Claimant": Valerie S. Carter. Esq., Carter & Doyle. LLP, Lexington, MA. Responde

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Traitz (Claimant) v. Merrill Lynch Pierce Fenner & Smith. Inc. (Respondent) Case Number: 06-04042 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Robert Traitz hereinafter referred to as "Claimant": James A. Batson, Esq., Liddle & Robinson, L.L.P, New York, NY. Respondent Merrill Lynch Pie

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael PIckholz (Claimant) vs. ThinkEquity Partners, LLC (Respondent) Case Number: 08-01286 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael PIckholz hereinafter referred to as "Claimant": Howard Meyers, Esq., and Robert Heim, Esq., Meyers & Heim LLP, New York, NY. Respondent ThinkEquity Partners L

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03126 Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Claimant") vs. Michael Cox ("Respondent") ATTORNEYS: For Claimant appeared Rachael Carp, Esq., Rubin, Fortunato & Harbison, P.O., Paoli, PA. Respondent appeared Pro se, Westbury, NY. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: September 4, 2008 CASE SUMMARY: Claimant alleged breach of Promissory Note and

FINRA DISPUTK RESOLLTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03140 OptionsHouse LLC ("Claimant") vs. Anretang Abia ("Respondent") ATTORNEYS: For Claimant appeared Lesley G. Smith, Esq.. Schopt & Weiss LLP, Chicago, IL. For Respondent appeared Jim Walker. Esq.. Jim Walker & Associates, PLLC, Irving. TX NATURE OF DISPUTE: Member vs. Customer DATE FILED; September 5, 2008 CASE SUMMARY: Claimant alleged that by failing to timely cure the debit balan

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02904 Avraham R. Amit ("Claimant") vs. Chase Investment Services Corp. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Reston, VA. For Respondent appeared Sheila E. Carson. Esq., In-house Counsel, New York. NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 14,2008 CASE SUMMARY; Claimant alleged that he sustained monetary losses as a result of being misled by Responde