FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03461 Anthony Antonucci, ("Claimant") vs. Charles Schwab & Co., Inc.. ("Respondent") ATTORNEYS: Claimant appeared pro se, Plainview, NY. For Respondent appeared in-house counsel Brandon K. Hemley. Esq., San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 23. 2008 CASE SUMMARY: Claimant alleged that Respondent failed to execute orders to sell shares o

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03000 NoCoa Corporation, Andrew Jonathan Tressler, Todd David Altken, /Vnthony Joseph Graziano & Derel^ John Rehill. ("Claimants") vs. David 1. Carter, ("Respondent") ATTORNEYS: Claimants appeared pro $0, Farmingdale. NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTt: Non- Member and Associated Persons vs. Associated Person DATE TILED: August 26.2008

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02388 Richard A. Siegel ("Claimant") vs. Fidelity Brokerage Services LLC ("Respondent") ATTORNEYS: Claimant appeared Pro se, Teaneck, NJ. For Respondent appeared Erin K. Fair, In-house Counsel, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 14, 2008 CASE SUMMARY; Claimant alleged negligence, breach of fiduciary duty, misrepresentation/non-disclosure, and omissio

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02728 Robert Rabkin ("Claimant") vs. Dieter Erwin Thurow ("Respondent") ATTORNEYS: Claimant appeared Pro se, San Francisco, CA. For Respondent appeared Chad Weaver, Esq., Edgerton & Weaver, LLP, Henmosa Beach, CA. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: August 5, 2008 CASE SUMMARY: Claimant alleged that Respondent wrongly withheld fees on his account. Claim

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02735 Dov Elfanbaum & Deborah Elfanbaum JTWROS ("Claimants") vs. Caldwell Securities International Securities ("Respondent") ATTORNEYS: Claimant appeared Pro se, Beit Herut. Israel. For Respondent appeared Lennie S. Freiman. Fischer, TX. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 5. 2008 CASE SUMMARY; Claimants alleged gross negligence, failure to supervise, and fraud

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03259 Solomon Henner. Partner Boundless Enterprises, ("Claimant") vs. E*Trade Securities, LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se, Boynton Beach, FL. For Respondent appeared in-house counsel John Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 11. 2008 CASE SUMMARY: Claimant alleged that Respondent failed to execute an order

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bernard and Meredith Patrusky. Meredith Patrusky and Martin Semels as Trustees of the Glen Oaks Irrevocable Trust II, Meredith Patrusky and George Boronkay as Trustees of the Patrusky Family Trust (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith. Inc., Robert L. Boykoff. and Linda M. Houston (Respondents) Case Number: 08-01407 Hearina Site: New York, New York Nature of the Dis

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Stevens & Company, Inc. (Claimant) v. Joseph Blocken, Cleon R. Cato, Renatto A. Comejo, Mark Dalcollo, Anthony L. Debenedictis, Thomas R. Gallagher, Justin S. Hirschorn. Anthony Johnson, Henry Sanabria, Louis P. Scalise, John Sideris. and Vincent Trapozzano (Respondents) Case Number: 07-03282 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Perso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Martin V. Murphy (Claimant) vs. Bishop Rosen & Co., Inc. (Respondent) Case Number: 07-00447 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Martin V. Murphy hereinafter referred to as "Claimant": George W. Klein, Esq., Law Offices of George W. Klein. Forest Hills, NY Respondent Bishop Rosen & Co., Inc. ("Bishop Ros

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of ttie Claimant Case Nurnbgr 08-02712 Matthew Pawliic Name of the Respondent Hearing Site: Miami, Florida Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. RgPRESEWTA-nOM QF PARTIES Matthew Pawlik, hereinafter referred to as "Claimanf, appeared pro se. For Charies Scliwab & Co., Inc. ("Schwab"), hereinafter reterred to as "Respondent": Mai P.