AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Sen/ices, Inc. vs. Case Number: 07-03545 Hearing Site: Cincinnati, Ohio Name of Respondent Joshua Standlsh Fortin Member vs. Associated Person UBS Financial Services. Inc. ("Claimant") was represented by Gerald T. Roher, Jr., Esq., Schuyler Roche, PC, Chicago. Illinois. Joshua Standish Fortin ("Respondenr) appeared pro se. The Stat

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert J. and Betty J. Treat vs. Case Number: 06-02307 Hearing Site: St. Louis, Missouri Name of Respondent 1717 Capital Management Company NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Robert J. and Betty J. Treat ("Claimants") were represented by Bnjce D. Cakes, Esq., SimmonsCooper, LLC, East Alton, Illinois. 1717

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant: JiWei Respondent: Credit Suisse Securities (USA) LLC Interpleader/Counter-Claimant: Credit Suisse Securities (USA) LLC Counter-Claimant: Natural Flow Limited Third-Party Claimants: Credit Suisse Securities (USA) LLC Natural Flow Limited JiWei Zhu Jun Cross-Claimants: Natural Flow Limited JjWei Zhu Jun Counter-Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Susan J. Gilmore Gallagher and John F. Gallagher (Claimants) vs. Jesup & Lamont Securities Corp. (Respondent) Case Number: 07-01976 Hearing Site: Boston. Massachusetts Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Susan J. Gilmore Gallagher ("S. Gallagher") and John F. Gallagher ("J. Gallagher"), hereinafter collectively referred to as "Claima

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01113 Howard Braff, ("Claimant") vs. Peter Christian Dunne, ("Respondent") ATTORNEYS: Claimant appeared pro se, Holtsvilie, NY. For Respondent appeared Howard E. Greenbert, Esq.. of the firm Law Offices of Howard E. Greenbert. P.C, Smithtown. NY. NATURE OF DISPUTE: Associated Person vs. Associated Person DATE FILED: April 15. 2008 CASE SUMMARY: Claimant alleged that Respondent brea

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00488 Robert E. Schuitz. ("Claimant") vs. Edward Wedbush, R.J. Richards. IVIichaei Gardner and Jonathan A. Carr. ("Respondents") ATTORNEYS: Claimant appeared pro se, Newport Coast, CA. For Respondents appeared in house counsel for Wedbush Morgan Securities Inc., John W. Stenson, Esq. Los Angeles, CA. NATURE OF DISPUTE: Associated Person vs. Associated Persons DATE FILED: February 2

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John W. Anderson vs. Case Number: 07-02797 Hearing Site: Minneapolis, Minnesota Name of Respondent A.G. Edwards & Sons, Inc. NATURE OF THE DISPUTE Associated Person vs. Member John W. Anderson ("Claimant") was represented by Steven E. Rau, Esq., Flynn Gasldns & Bennett, LLP, Minneapolis, Minnesota. A.G. Edwards & Sons, Inc. ("Respondenr) was rep

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Jeffrey Peltz and Antoinette Peltz vs. Case Number: 07-02938 Hearing Site: Columbus, Ohio Names of Respondents Merrill Lynch, Pierce. Fenner & Smith, inc. and Mark A. Moyer NATURE OF THE DISPUTE Customers vs. Member and Associated Person Jeffrey Peltz and Antoinette Peltz ("Claimants") were represented by Geoffrey C. Brown, Esq.. Bordas & Bord

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Pamela A. Schmidt, Individually and as Trustee of the Pamela A. Schmidt Trust U/A DTD June 14,1996 vs. Names of Respondents Raymond James Financial Sen/ices. Inc.. 1st Discount Brokerage Services, Inc., and Thomas Shian Case Number: 07-01783 Hearing Site: Minneapolis, Minnesota Customer vs. Members and Associated Person REPRESENTATION OF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimante Nancy Frasier John A. Gilchrist David Hicks Names of the Resoondente Metropolitan Life Insurance Company Douglas Crowe MetLife Securities, Inc. Case Number: 08-00668 Hearing Site: Binningham, Alabama Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Nancy Frasier ("Frasier"), John A. Gi