AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert W. Coles vs. Case Number 06-03279 Hearing Site: Cleveland, Ohio Names of Respondents A.G. Edwards & Sons, inc., Joseph Hanna, and Robert Poling NATVRE0FTHEBI8PUTE Customer vs. Member and Associated Persons REPRESENTATIPN OF PARTIES Robert W. Coles ("Claimant") was represented by Anthony Hartman, Esq., Hermann, Cahn & Schneider, LLP. C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Darlene Ludoff vs. Case Number: 07-01611 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Merrill Lynch, Pierce, Fenner & Smith. Inc. and Samuel William Spanos NATURE OF THE DISPUTE Customer vs. Memt)er and Associated Person REPRESENTATION OF PARTIES Darlene Ludoff ("Claimanr) was represented by Adrian N. Roe, Esq., Watkins Dulac &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Valentine Pitheckoff (Claimant) vs. Louis Liberatore and Great Eastern Securities, Inc. (Respondents) Case Number: 06-05246 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Valentine Pitheckoff ("Claimant") appeared pro se. Respondent Louis Liberatore ('Liberatore") appeared pro se. Previously

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00415 Oppenheimer& Co.. Inc., ("Claimant") vs. Steven B. Waldman, ("Respondent") ATTORNEYS: For Claimant appeared in-house counsel Raquel Terrigno, Esq., New York, NY. For Respondent appeared Mark Charles, Esq., New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 13. 2008 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Deborah Galarneau (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Case Number: 08-00485 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Deborah Galarneau hereinafter referred to as "Claimant": Rufus E. Brown, Esq., Brown & Burke, Portland, ME. Respondent Merrill Lynch,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00969 Aegis Capital Corp. ("Claimant") vs. Munir Henry Mrkulic ("Respondent") ATTORNEYS: For Claimant appeared Michael H. Ference, Esq., Sichenzia, Ross, Friedman, Ferrence, LLP, New York, NY. Respondent appeared Pro se, Bloomfield, NJ. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: April 2, 2008 CASE SUMMARY: Claimant alleged that Respondent breached the Deal Summary

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03192 Citigroup Global Markets, Inc. ("Claimant") v. Joseph Frasko ("Respondent") ATTORNEYS: For Citigroup Global Maricets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, NewYori^, NY. Respondent appeared Pro se, New York, NY. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 12,2007 CASE SUMMARY: Claimant alleged a loss incurred due to Respondent's failure t

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00302 Curtis Harold Traylor ("Claimant") vs. TD Ameritrade, Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Manvel, TX. For Respondent appeared in-house counsel, Kelly R. Davis, Omaha, NE. NATURE OF DISPUTE; Customer v. IWember DATE FILED: January 26.2008 CASE SUMMARY: Claimant alleged a loss as a result of Respondent's failure to execute his order. Claimant maintained tha

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Winnie Yul< wlng Mou (Claimant) v. State Farm VP Management Corp. (Respondent) Case Number: 08-00096 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Winnie Yukwing Mou ("Claimant"): appeared pro se. Previously represented by Elizabeth T. Hill, Esq.. Elizabeth T. Hill. Esq.. Attorney At Law, New York. NY. Re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald R. Waselesl< i (Claimant) v. l\^organ Stanley Dean Witter (Respondent) Case Number: 07-03384 Hearino Site: Newark. New Jersey Nature of the Dispute: Associated Person vs. I\^ember. REPRESENTATION OF PARTIES Claimant Ronald R. WaselesKi ("Claimant") appeared pro se. Respondent Morgan Stanley Dean Witter ("Respondent"): Kevin B. Wall^er, Esq., McElroy. Deutsch. Mulvaney & C