FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00581 Pointe Capital, Inc., ("Claimant") vs. Arthur Anthony Gerome, ("Respondent") ATTORNEYS: For Claimant appeared Daniel R. Levene, Boca Raton. FL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 29. 2008 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed pursuant to an empl

NYSE ARCA 115 Sansome Street San Frandsco> CA 94104 In The Matter OfTtie Arbitration Between: Herbert A. Thomas and Marcia M. Thomas Claimants V. Charles Schwab & Co., Inc. Respondent N^E Area CASE #: 06-5004 DECISION The undersigned Arbitrator, having read and considered the Claim submitted by Claimants, the Answer of the Respondent, and the Rebuttal of the Claimants, hereby renders the fbilowing Decision pursuant to Rule 12 of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-01866 Venna Stubbs and Gerald Stubbs Respondente Hearina Site: Dallas, Texas A.G. Edwards & Sons, Inc. Banc of America Investment Services, Inc. Brent S. Lemons Nature of the Dispute: Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Claimants Venna Stubbs and Gerald Stubbs. hereinafter coliectively refened to as "Claima

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 07-01893 H. George and Angellka Lundburg Lola D. Thomas Trust HGL ConsuKlng/Research, Ltd. Respondents Hearing Site: Honolulu, Hawaii Morgan Stanley & Co. Incorporated Paul Saferstein Robert M. Tung Charles N. Sebrell Paul C. Loo Susan M. Lane Richard M. Mosko, Sr. Dwayne T. Mukai Nature of the Dispute: Customers vs. Member and

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 06-00111 Estate of David Roberts Respondent Hearina Site: Las Vegas, Nevada UBS Financial Sen/ices Inc. Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Estate of David Roberts, hereinafter referred to as "Claimant": Jerry L. Colclazier, Esq., Colciazier & Associates, Seminole, Oklahoma Respondent, UBS Financial Sen/ice

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant William Holland Name of the Respondents Wachovia Securities, LLC Eugene P. Ingargiola a/k/a Gene Ingargiola Master Consolidated Case Number. 05-05159 Hearing Site: San Diego, Califomia Counter-Claimant Wachovia Securities, LLC Counter-Res[X)ndent William R. Holland Consolidated with: Name of Claimant Michael W. Holland Name o

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Claimant: Case Number 03-03017 Justin Peristrom Respondents: Hearing Site: Los Angeles, Califomia First Wall Street Corporation Charies P. Lazzaro Barbara J. Ralston John R. Openshaw Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Justin Peristrom, hereinafter refened to as "Claimant": Patrick Baldwin, Esq.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number. 06-04808 Chestnut Energy Partners, Inc. a/k/a Plummer Securities, Inc. Respondents Hearina Site: Dallas. Texas M&W Financial, Inc. and Thomas E. Tapla Counter-Claimant M&W Financial, Inc. Counter-Respondent Chestnut Energy Partners. Inc. a/k/a Plummer Securities, inc. Third Party Claimant M&W Financial, Inc. Third Party Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-00641 Charies Schwab & Co., Inc. Respondents Hearina Site: San Francisco. Califomia Donald E. Newman and New Man Inc., a sole proprietorship Nature of the Dispute: Member vs. Customers REPRESENTATION OF PARTIES Claimant, Charies Schwab & Co., Inc., hereinafter referred to as "Claimant": Richard A. Karoly, Esq.. Charies Schwab & Co., Inc.. San Fr

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant: Case Number: 06-05295 CurtG. Reed. Jr. Respondents: Hearina Site: San Diego. Califomia Lincoln Financial Advisors Corporation The Lincoln National Life Insurance Co. Nature of the Dispute: Associated Person v. Members REPRESENTATION OF PARTIES Claimant, Curt G. Reed. Jr.. hereinafter referred to as "Claimant": Lawrence J. Fossi, Esq. and Karen Jewell, Esq., F