Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Timothy McNamara (Respondent) Case Number: 08-00733 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC. hereinafter referred to as "Claimant": David Ward, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, MA. Respondent Timothy McNamara hereina

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William J. Heffernan (Claimant) vs. Scott Allan Shapiro, Christopher John Barletta, Peter Miluk, ill, and S.W. Bach & Company (Respondents) Case Number: 07-02017 IHearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant William J. IHeffeman ("Claimant"): Erik Groothuis, Esq., and John M. Lundin, Esq..

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02467 Raymond P. Haworth. ("Claimant") vs. UBS Financial Services Inc.. ("Respondent") ATTORNEYS: Claimant appeared pro se, Kelts, Co Meati>, Meath Ireland. For Respondent appeared in-house coimsel Bernard Williams, AGC, Esq., Weeiiawken, NJ. NATURC OF DISPUTE: Customer vs. iWember DATE FILER July 17. 2008 CASE SUMiVIARY. Claimant atieged that Respondent failed to timely transf

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 08-01775 William J. Aste, Jr.. ("Claimant") vs. Charies Schwab & Co., Inc., ("Respondent") ATTORNEYS: For Claimant appeared James J. Aste, Esq.. of the Hariand Law Firm. Eureka. CA. For Respondent appeared Evelyn A. Christensen. Esq.. of the firm Keesal. Young & Logan. Long Beach. CA. NATURE OF DISPUTE: Customer vs. i^ember DATE FILED: May 30. 2008 CASE SUMMARY: Claimant alleged that

Award FINRA Dispute Resolution in the Matter of the Arisltration Between: Ruth Muiholiand vs. TIAA-CREF Individual and institutional Services, LLC Case Number: 08-01133 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Ruth Mulholland hereinafter referred to as "Claimanf appeared pro se. Respondent TIAA-CREF Individual and institutional Services, LLC, hereinafter referred to as "R

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01679 Daniel P. Day Names of the Respondents Hearing Site: Orlando, FL Wunderlich Securities, inc. Capital Securities of America, Inc. Jerry Cline Charies N. Watson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Daniel P. Day, hereinafter refen^d to as "Claimant": K. Mic

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00174 Jimmy W.Chase Genette P. Chase Name of the Respondent Hearing Site: Oriando, FL Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jimmy W. Chase and Genette P. Chase, hereinafter collectiveiy referred to as "Claimants": Andrew Stoltmann, Esq., Stoitmann Law Offices, Chicag

Award FINRA Dispute Resolution \n the l\4atter of the Arbitration Between: Name of the Claimant Case Number: 08-01448 Lily Azmoun Names of the Respondents Hearino Site: Washington, D.C. Scott & Stringfellow. Inc. Ronald L. Salyer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lily Azmoun, hereinafter refen^d to as "Claimant": W. Scott Greco, Esq., Greco & Greco, P.C, McLean, VA. For Respon

Award FINRA Dispute Resolution In the IVIatter of the Arbitration Between: Name of the Claimant Case Number: 08-00882 Edward Francis Spencer Revocable Trust DTD 9/7/2007 Edward Francis Spencer Trustee Name of the Respondent l-Jearlnq Site: New Orleans, Louisiana Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. IVIember. REPRESENTATION OF PARTIES For Edward Francis Spencer Revocable Trust DTD 9/7/2007 Edward Francis Spencer T

Award FINRA Dispute Resolution In the Matters of the Artsitration Between: Claimant: Optionshouse, Inc. Respondents: Amir All Jivani Muhammad Raza Jivani Counterciaimants: Amir All Jivani Muhammad Raza Jivani Counter-Respondent: Optionshouse, inc. Third-Party Claimants: Amir All Jivani Muhammad Raza Jivani Third-Partv Respondents: Daniel Rosenthal James Halm Robert Baldwin Tycho Clayton Penson Financia