Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Lobato (Claimant) vs. Scottrade. Inc. (Respondent) Case Number: 07-03626 Hearing Site: New Yorl< , New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant David Lobato hereinafter referred to as "Claimant" appeared pro se. Responderrt Scottrade, inc., hereinafter referred to as "Respondent": Thomas L. Azar, Jr., Esq.. Thompson Coburn LLP, St

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard L. Stem as Trustee in Banl^ruptcy for Continental Broker Dealer, Corp. (Claimant) vs. Wexford Clearing Services, LLC, Edward Schlitzer, Patricia Ann Jamison, and George Calleia (Respondents) Case Number: 07-02345 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Richard L. Stem as Trustee

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George E. Cubberly (Claimant) vs. PNC Investments. LLC (Respondent) Case Number: 07-03214 Hearing Site: Newark. New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant George E. Cubberly hereinafter referred to as "Claimant" appeared pro se. Respondent PNC Investments, LLC, hereinafter referred to as "Respondent": Brian A. Carlis, Esq., Stari^

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02730 Joseph Luis Villalba, ("Claimant") vs. Hold Brothers On-Line Investments Services LLC and Robert A. Vallone, ("Respondents") ATTORNEYS: Claimant appeared pro se. North Bergen, NJ. For Respondent Hold Brothers On-Line Investments Services LLC appeared Martin H. Kaplan, Esq. of the firm Gusrae, Kaplan, Bruno & Nusbaum, PLLC, New Yori< , NY. Respondent Robert A. Vallone appeared pro

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02109 Jennifer Smith, ("Claimant") vs. Jerron Derell Jackson, Stephanie Lynn Swan, John Angelo Bivens and Wells Fargo Investments, LLC, ("Respondents") ATTORNEYS: Claimant appeared pro se, Los Angeles, CA. For Respondents appeared in-house counsel Vanessa M. Hoffman, Esq.. San Francisco, CA. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE FILED: June 27.2008 C

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02268 Esther Hutterer, CCIaimant') vs. Franit A. Quartararo, fRcspondenf) ATTORNEYS: Claimant appeared pro se. New York, NY. Respondent appeared pro se, New York. NY. NATURE OF DISPUTE: Customer vs. Associatsd Person DATE FILED: July 7. 2008 CASE SUMMARY: Claimarit alleged that Respondent placed her in Investments whidT were unsuitable for her needs. Claimant further alleged breach

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02503 Options House, Inc., ("Claimant") vs. Yana Gladtslcov. ("Respondent") ATTORNEYS: For Claimant appeared Lesley Smith, Esq., of the fimfi Schopf & Weiss, LLP, Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. (MATURE OF DISPUTE: Member vs. Customer DATE FILED: July 17, 2008 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed as a

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04035 Edward D. Jones & Co., L.P. Names of the Respondents Hearing Site: Tampa, Florida Marc A. Miller II Morgan Keegan & Company, Inc. Nature of the Dispute: Member vs. Associated Person and Member. For Edward D. Jones & Co., L.P.. hereinafter referred to as "Claimant": Christopher A. Pickett. Esq., Goldberg Wehrle LLC, St. L

AWARD FINFIA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants David BaJocco and Kathleen Baiocco vs. Case Number: 08-00126 Hearing Site: Southfield. Michigan Names of Respondente American Classic Financial Company, Adolph W. Tieppo, II, Hampton Securities (USA), Inc., North American Clearing, inc. and Traders Advantage a/k/a JW Richards, Inc. Customers vs. Members and Associated Person David Baiocco and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cialmant Roger Lawler Respondent M & W Financial, Inc. Case Number: 07-01261 Hearing Site: Dallas, Texas Counter-Claimant l\1 & W Financial. Inc. Counter-Respondent Roger Lawler Third-Party Claimant M &W Financial, Inc. Third-Party Respondent Jeffrey Lee Wheeler Nature of the Dispute: Customer ys. Member Member ys. Customer Member vs. Ass