Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-00249 William Goldstein. M.D. Name of the Respondent Hearino Site: Columbia, South Carolina Emmett A. Larkin Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William Goldstein, M.D., hereinafter refen^ed to as "Claimant": Elizabeth Zeci(. Esq., Willoughby & Hoefer. P.A., Columbia, South Carolina.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03330 Lincoln Financial Securities Corp. (consolidated with 07-03444) f/k/a Jefferson Pilot Securities Corp. Name of the Respondent Hearing Site: Boca Raton, Florida Michael S. Cohen In the Matter of the Ariaitration Between: Name of the Claimant: Case Number: 07-03444 Michael S. Cohen (consolidated with 07-03330) Name of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00576 Heather B. Lynch Names of the Respondents Hearing Site: Baltimore, Maryland Morgan Stanley & Co. Incorporated Andrew S. Martin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Heather B. Lynch, hereinafter referred to as "Claimant": Margaret Arjent, Esq., Thomas & LIbowitz, P.A., B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03487 Vincent P. Miraglia, MD, PA, Trustee, Emptoyee PS Plan dtd. 6/1/81 and Employee MPP Plan dtd. 6/1/81 Name of the Respondent Hearino Site: Boca Raton, Florida Wachovia Securities, LLC f/k/a Prudential Securities, Inc. Name of the Third Partv Respondent Dr. Vincent Miraglia, MD, Individual Nature of the Dispute: Customer vs.

Award FINRADispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05898 Melvin A. Guillory. IRA Names of the Respondents Hearing Site: New Orieans, Louisiana Citigroup Global Markete, Inc., f/k/a Salomon Smith Barney. Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Melvin A. Guillory, IRA, hereinafter referred to as "Claimant": Wil

Award FINRA Dispute Resolution In the Matter of the Ari3itratlon Between: Name of the Claimant Case Number 06-04252 Michael Stephen Cohen Name of the Respondent Hearing Site: Boca Raton, Florida CISC Worid Maricets Corp. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Michael Stephen Cohen, hereinafter referred to as "Claimant": Jeffrey Cox, Esq., Sallah & Cox LLC, Boca Raton, Florida. For CIBC Worid Marice

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00597 Nigel Roth Names of the Respondents Hearing Site: Boca Raton, Florida Empire Financial Group. Inc. Donald Anthony Wojnowski, Jr. Name of Third Partv Respondent Edward Steven Ratanun Nature of the Dispute: Customer vs. Member and Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Nigel Roth, hereinaft

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael A. Macis vs. Case Number: 08-00534 Hearing Site: Chicago, Illinois Names of Respondents Metropolitan Life Insurance Company and Raymond Shimizu Associated Person vs. Member and Associated Person Michael A. Macis ("Claimanr) was represented by John Dienner, Esq.. Kubasiak. Fylstra, Thorpe & Rotunno, P.C, Chicago, Illinois, until on or about S

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Helene Teper (Claimant) vs. Bella Borg and Barry Scott Sloane (Respondents) Case Number: 07-02209 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Helene Teper hereinafter referred to as "Claimant": John J. Marinan. Esq., John J. Marinan, Esq., Counsellor-at-Law, New Monmouth, NJ. Respondent Bella Borg (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of James Ward (Claimant) vs. Ehrenkrantz King Nussbaum, Inc., and John Susca (Respondents) Case Number: 05-06164 Hearing Site: New Yori^, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Estate of James Ward by April Ward, Executrix, hereinafter referred to as "Claimant": Christopher R. Ross, Esq., Mayer, Ross