Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 04-00980 Allen Paulson Living Tnjst Respondent Hearing Site: San Diego, California J.P. Morgan Securities, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Allen Paulson Living Tmst, hereinafter refen^d to as "Claimant": Steve Buchwalter, Esq., Law OfTices of Steve A. Buchwalter, P.C, Encino, California and David B

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of the Claimant Case Number: 08-01254 Andrew E. Hoh, individually and as custodian for the Andrew E. IHoh IRA Name of the Respondent Hearing Site: Raleigh, NC Ameriprise Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Andrew E. IHoh, individually and as custodian for the Andrew E. Hoh IRA, hereinafter refen-ed to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00976 Jason L. Reitelman Name of the Respondent Hearing Site: Boca i^ton, Florida Noble international Investments. Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Jason L. Reitelman, hereinafter referred to as "Claimant": Richard A. Stephens, Esq., The Law Office of Richard Stephens, Boca Raton, Fl

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ernest C. Pierson and Ernest C. Plerson IRA vs. Names of Respondents Morgan Stanley DW Inc., and Arthur Neal Sherman Case Number. 06-05044 Hearing Site: Minneapolis. Minnesota Customers vs. Member and Associated Person Ernest C. Pierson and Ernest C. Pierson IRA ("Claimants") were represented by Lewis A. Remele, Jr., Esq., Bassford Remeie, Min

stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Nanne of the Claimant Case Number: 07-01863 Gregory R. Riordan Name of the Respondent Hearing Site: Boca Raton, Florida IFMG Securities, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Gregory R. Riordan, hereinafter referred to as "Claimant": Bradford M. Gucciando. Esq., Scariett & Gucciardo. P.A., Delray Beach, Florida.

Award FINRA Dispute Resolution In the Matter of the Ari3itFatlon Between: Claimant Case Number 06-00290 Wachovia Securities LLC Respondent Hearing Site: Phoenix, Arizona Craig E. Johnson Counter-Claimant Craig E. Johnson Counter-Respondent Wachovia Securities LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent Wachovia Securities LLC, hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-02555 Michael F. Fangman Respondents Stanley C. Brool^s Brookstreet Securities Corporation National Financial Services LLC Hearing Site: San Diego. California Nature of the Dispute: Associated Person vs. Associated Person and Members REPRESENTATION OF PARTIES Claimant, Michael F. Fangman, hereinafter referred to as "Claimant": Liam O'Bri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Agisilaos Cofinas, Fordhill Services, Ltd., et al. (Claimants) vs. Sterling Financial Investment Group, Inc. and Thomas Karidas (Respondents) Case Number: 06-05218 Hearina Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Agisilaos Cofinas ("Cofinas"), Fordhill Services, Ltd. ("Fordhill"), Global Ocea

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dan Druz (Claimant) v. Morgan Stanley Dean Witter, Inc., formerly known as Dean Witter Reynolds, Inc., George Delahanty, Richard Hayes, William Peterson, David I. Christensen. Diane Turner, and Erik Holt (Respondents) Case Number: 99-00155 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant: Case Number 07-01009 Virgei L. Smitii Respondents: Hearing Site: Dallas, Texas Southwest Securities, inc. Southwest Securities FSB LanyTate Robert McBey Daniel Leland Nature of the Dispute: Associated Person vs. Member, Non-Member, and Associated Persons REPRESENTATION OF PARTIES Claimant Virgei L. Smith ("Smith") appeared pro se: Dallas, Texas