Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William Dinges, Jr. and Agnes Dinges (Claimants) vs. McLaughlin, Piven, Vogel Securities Inc., and Lawrence Thomas Tulenko (Respondents) Case Number: 06-04152 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants William Dinges, Jr. ("W. Dinges") and Agnes Dinges ("A. Dinges"), hereinafter collect

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02874 Bill S. Tsevdos ("Claimant") vs. TD Waterhouse d/b/a TD Ameritrade, Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Brooklyn, NY. For Respondent appeared Janis Campanella, Esq., in-house counsel, TD Ameritrade, Inc., Boca Raton, FL. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: October 5, 2007 CASE SUMMARY: Claimant is seeking expungement of language

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Rajnikant Shah and Akhil R. Shah Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated Case Number. 06-01817 Hearing Site: Seattle, Washington Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Rajnikant Shah and Akhil R. Shah, hereinafter collectively referred to as "Claimants": Michael M.

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant N. Richard Honer vs. Names of Respondents Robert W. Baird & Co. Incorporated, Victor L. Whang, and David Ray Hester Case Number: 05-03691 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES N. Richard Honer ("Claimant") was represented by Walter L. Baumgardn

AWARD FINRA Dispute Resolution In the l\^atter of the Arbitration Between: Names of Claimants Julie Maleitzke, individually and as the Personal Representative of the Estate of Gary L. IVIaleitzke, Deceased vs. Names of Respondents Warren Fritz, Brent Kerstetter, Sanford Financial Services, Inc., and Raymond James Financial Services, Inc. and Names of Third-Party Claimants Brent Kerstetter and Raymond James Financial Services,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gail Wasserman and Wexler Meat Co. Profit Sharing Trust vs. Case Number: 06-01645 Hearing Site: Chicago, Illinois Names of Respondents Mesirow Financial, Inc., Front Barnett Associates, LLC, Phillip Bamett, and Barry Rosenberg and Name of Counter-Claimant Mesirow Financial, Inc. vs. Names of Counter-Respondents Gail Wasserman a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Helen-Carolyn Ackerly (Claimant) vs. Gilford Securities, Inc. (Respondent) Case Number: 07-01138 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Helen-Carolyn Ackerly hereinafter referred to as "Claimant": W. Alexander Melbardis, Esq., East Setauket, NY. Respondent Gilford Securities, Inc., hereinafter referred to

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03185 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. David Feldman, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the firm Duane Morris LLP, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 200

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00025 Vince Sullivan and Monica Sullivan, ("Claimants") vs. E*Trade Securities LLC, ("Respondent") ATTORNEYS: Claimants appeared pro se, Phillipsburg, NJ. For Respondent appeared in-house counsel John E. Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: December 28, 2007 CASE SUMMARY: Claimants alleged that Respondent failed to timely execute a stop

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Howe Barnes Hoefer & Arnett, Inc. vs. Case Number: 07-02216 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant Ronald W. Smith NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Howe Barnes Hoefer & Arnett, Inc. ("Claimant" or "Howe Barnes") was represented by David T.B. Au