Award FINRA Dispute Resolution In the Matter of the Arbitration Between: EKN Financial Sen^ices, Inc. (Claimant) vs. Jazz Singh d/b/a Jason Associates, and Jason Associates, Inc. (Respondents) Case Number: 08-00256 Hearing Site: New Yori^, New Yori< Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant. EKN Financial Services, Inc., hereinafter referred to as "Claimant": Robert M. Bursky, Esq., Law Offices of Robert M. Burs

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: ceo Investment Sen/ices Corp. (Claimant) v. Thomas J. Kilkenny. Jr. (Respondent) Case Number: 07-02607 Hearino Site: New Yori< , New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant CCO Investment Sen/ices Corp., hereinafter referred to as "Claimant": David M. Belcher, Esq. and Christine R. Fitzgerald, Esq.. Belcher, Starr & Fit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Karen Wagner (Claimant) vs. RBC Dain Rauscher, Inc., and Gerald A. Kalish (Respondents) Case Number: 06-04160 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Karen Wagner hereinafter referred to as "Claimant": Bart Heemskerk, Esq., Springfield, MA. Respondents RBC Dain Rauscher, Inc. ("

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) vs. Richard Coloni (Respondent) Case Number: 08-00132 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": Raquel Terrigno, Esq., Oppenheimer & Co., Inc., New York, NY. Previously represented by Cory S. Zadanosky,

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01870 Robert Skrzycki Joan Skrzycki Name of the Respondent Hearing Site: Raleigh. NC Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert Skrzycki and Joan Skrzycki, hereinafter collectively referred to as "Claimants": Daniel R. Flebotte. Esq., Merritt, Flebotte, Wilson, Webb and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Prestige Financial Center, Inc. (Claimant) vs. Christopher Richard Fallo (Respondent) Case Number: 07-03003 Hearino Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Prestige Financial Center, Inc., hereinafter referred to as "Claimant": Brian H. Reis, Esq., Law Offices of Brian H. Reis, New York, NY. Respondent Chr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fred S. Betman (Claimant) vs. TD Ameritrade, Inc. (Respondent) Case Number: 08-01321 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Fred S. Betman hereinafter referred to as "Claimant" appeared pro se. Respondent TD Ameritrade. Inc., hereinafter referred to as "Respondent": James J. Vihstadt. Esq., TD Ameritrade,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stanley D. Pomichter (Claimant) vs. Goldman Sachs & Co.. and Goldman Sachs Group. Inc. (Respondents) Case Number: 07-02913 Hearing Site: Hartford, Connecticut Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Stanley D. Pomichter hereinafter referred to as "Claimant": Bruce Day, Esq., and Tara A. LaClair, Esq., Day Edwards Pr

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert Roulette and Sharon Roulette vs. Name of Respondent Menill Lynch^ Pierce, Fanner & Smith, Inc. Case Number 07-02363 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTe Customers vs. Memt}er REPRESEMTATIQII OF PARTIES Robert Roulette and Sharon Roulette ("Claimants") were represented by R. George Burnett, Esq., Liebmann. Conway,

Award FINRA Dispute Rasolution In the Matter of the Arbitration Between: Claimants Judith L. Chiosao Glass, Trustee of The Judith L. Chiosso Glass Trust, And Judith L. Chiosso Glass, IRA Respondents Stanley C. Brooks Kyle R. Christensen Janet Lynn Ross William Betta, Jr. Russell M. Kautz National Financial Sendees LLC Brookstreet Securities Corporatton Counter-Claimant Natk>nal Financial Services LLC Counter-Responden