Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Inc. (Claimant) vs. Saul Kaminsky (Respondent) Case Number: 08-00218 Hearina Site: New York, New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTiES Claimant Merrill Lynch. Pierce, Fenner & Smith hereinafter referred to as "Claimant": Steven G. Leventhal, Esq., Leventhal & Sliney. LLP, Roslyn, NY. Respondent Saul Kam

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Roger D. Coyle (Claimant) vs. Ameriprise Financial Services, Inc. f/k/a American Express Financial Advisors, Inc. (Respondent) Case Number: 07-03246 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTiES Claimant Roger D. Coyle hereinafter referred to as "Claimant": Jonathan Kord Lagemann, Esq., and Jonathan D. Berg, E

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02910 Michelle L. Napoli ("Claimant") vs. Fidelity Brokerage Services, LLC ("Respondent") ATTORNEYS: Claimant appeared Pro se, Tucson, AZ. For Respondent appeared In-house Counsel, Paula M. McManus, Esq., Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 14, 2008 CASE SUMMARY: Claimant alleged unauthorized sale of her Roth IRA, Vanguard International Value Fund,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02434 Boris Shteyngart, ("Claimant") vs. Mercer Capital Ltd., Anthony John Salino and Leonard Cleophas Demers ("Respondents") ATTORNEYS: For Claimant appeared Michael Utilla, Esq., of the firm Utilla & Associates. Brooklyn, NY. For Respondents appeared Stephen B. Wexler, Esq.. of the firm Burkhart Wexker & Hirschberg, LLP. Garden City, NY. NATURE OF DISPUTE: Associated Person vs. M

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02256 Trident Partners Ltd., ("Claimant") vs. Robert Michael Obracanik, ("Respondent") ATTORNEYS: For Claimant appeared Ellen R. Storch, Esq., of the fimn Moritt Hock Hamroff & Horowitz LLP, Garden City. NY. Respondent appeared pro se, Gilbert, AZ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 3, 2008 CASE SUMMARY: Claimant alleged that Respondent failed to repay

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Alan Gildenberg vs. Case Number: 07-03256 Hearing Site: Southfield, Michigan Name of Respondent Wachovia Securities, L.L.C. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Alan Gildenberg ("Claimant") was represented by Jay A. Schwartz. Esq., Schwartz Law Finn. P.C. Famiington Hills, Michigan. Wachovia Securities

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: ~ Name of Claimant BMO Capitol Maricets GKST, Inc. f/k/a Griffin, Kubik. Stephens & Thompson, Inc. vs. Case Number: 07-00366 Hearing Site: Chicago, Illinois Names of Respondents Morgan Stanley DW, Inc., John G. Tofilon, Kent E. Atkinson, Jill C. Rottman, and Maria C. Tomga and Name of Counter-Claimant John G. Tofilon vs. Name of Counter-Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00119 James H. and Sonia Morton Name of the Respondent Hearing Site: Orlando. FL A.G. Edwards & Sons. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES James H. and Sonia Morton, hereinafter collectively referred to as "Claimants", appeared pro se. For A.G. Edwards & Sons, Inc. ("AGE"), hereinafter collecti

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Mitchell Domin Jack Heller Martin Hodas Name of the Respondent Dawson James Securities, Inc. Case Number: 08-00364 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mitchell Domin ("Domin"), Jacl^ Heller ("Heller") and Martin Hodas ("Hodas"). hereinafter collectively referred to

stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Joseph Rosio (Claimant) v. Jefferies & Company (Respondent) Case Number: 08-00093 Hearing Site: Newarl< , New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Joseph Rosio hereinafter referred to as "Claimant": Norman B. Arnoff, Esq., Buri< hartWexler& Hirschberg LLP, Garden City, NY. Respondent Jefferies & Company hereinaf