Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John A. Caruso and Georgene M. Caruso (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Wachovia Securities, LLC (Respondents) Case Number: 08-00767 Hearing Site: New Yori< , New York Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES Claimants John A. Caruso ("J. Caruso") and Georgene M. Caruso ("G. Caruso"), hereinafter collectively referred

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01290 Russell Hartstein. ("Claimant") vs. Hold Brothers On-Line Investment Services, LLC. ("Respondent") ATTORNEYS: Claimant appeared pro se. New York, NY. For Respondent appeared Martin H. Kaplan. Esq., of the finri Gusrae. Kaplan. Bruno & Nusbaum. PLLC, New York. NY. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: April 25, 2008 CASE SUMMARY: Claimant alleged that

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: American Capital Partners, LLC (Claimant) vs. Matthew Ferber (Respondent) Case Number: 07-00984 Hearing Site: New York. New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant American Capital Partners, LLC, hereinafter referred to as "Claimant": J. Christopher Albanese. Esq.. American Capital Partners, LLC, Hauppauge, NY. Respondent Mat

Award FINRA Dispute Resolution In the Matter of the Art?itration Between: Name of the Claimant Case Number: 05-00557 Daniel V. Pompilio, III Name of the Respondent Hearing Site: Atlanta. Georgia Goldman. Sachs and Company Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Daniel V. Pompilio, III, hereinafter referred to as "Claimant": Frank A. Lightmas, Jr. Esq., Lightmas & Oelk, Atlanta, Georgia, and Marion Smith. II, Esq

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01836 Charles T. Beam Names of the Respondents Hearing Site: Boca Raton. Florida Triad Advisors, Inc. MIramar Securities. LLC Brad C. Dunlap Banv Carter Hixon Maureen Louise Curto Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charies T. Beam, hereinafter referred to as "Claima

FINRA DISPUTE RESOLUTION AWARD FINiV^ DISPUTE RESOLUTION CASE: 08-01247 William C. OhI, II and Kimberly A. OhI ("Claimants") vs. Merrill Lynch, Pierce. Fenner & Smith, Inc. and Ray D. Kinnarxl ("Respondents") ATTORNEYS: For Claimants appeared William C. OhI, II, Tucson, AZ. For Respondents appeared Edwin A. Zipf. Esq., Bressler, Amery & Ross, P. C. Florham Pari^, NJ. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 2

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00979 Mary Gabriel Schweitzer. ("Claimanf) vs. Citigroup Global Markets. Inc. and George Lyman Redheffer. ("Respondents") ATTORNEYS: Claimant appeared pro se. Honolulu. HI. For Respondent Citigroup Global Markets. Inc. appeared in-house counsel Douglas B. Appel. Esq.. New York. NY. Respondent George Lyman Redheffer appeared pm se, Tempe. AZ. NATURE OF DISPUTE: Customer v. Member an

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01197 Norman E. Hanns ("Claimant") vs. Scottrade, Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Tacoma, WA. For Respondent appeared In-house Counsel, Andrew Small. Esq., St. Louis. MO. NATURE OF DISPUTE: Customer v. IVIember DATE FILED: April 21. 2008 CASE SUMMARY: Claimant alleged unjust enrichment. Claimant maintained that as a result of Respondent's actions he suffere

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Banc of America Investment Services, Inc. (Claimant) vs. Mark E. Adam (Respondent) Case Number: 07-02262 Hearing Site: Buffalo, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Gregory B. Simon. Esq., Kane & Fisher, Ltd., Chicago. IL. Respondent Mark

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01784 Mark Blau, ("Claimant") vs. TD Ameritrade, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Bloomfield, CT. For Respondent appeared in-house counsel James Vihstadt, Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 29.2008 CASE SUMMARY: Claimant alleged that Respondent provided misleading information and failed to timely execute trades. Claimant furth