Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Janet MacLean (Claimant) vs. Fidelity Brokerage Services, LLC (Respondent) Case Number: 06-04502 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Janet MacLean hereinafter referred to as "Claimant": Paul M. Glickman, Esq., Glickman Turley, LLP, Boston, MA. Respondent Fidelity Brokerage Service

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) vs. Christopher Becker (Respondent) Case Number: 05-00529 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc., hereinafter referred to as "Claimant": Francis M. Curran, Esq., Davidson & Grannum, LLP, Orangeburg, NY. Respondent Christopher Bec

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas John McCarthy (Claimant) vs. Financial Network Investment Corporation and Karoon Capital Markets, Inc., (Respondents) Case Number: 07-00534 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Thomas John McCarthy hereinafter referred to as "Claimant": Cindy D. Salvo, Esq., The Salvo Law F

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Richard Haskell and Susan Haskell vs. Case Number: 07-02946 Hearing Site: Chicago, Illinois Name of Respondent Scottrade, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Richard Haskell and Susan Haskell ("Claimants") were represented by James W. Christian, Esq. and Sean Greenwood, Esq., Christian, Smith & Jewell, LLP

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 07-00236 Steven G. Holder The Steven Holder Trust The Holder Family LP Name of Respondents Hearing Site: Los Angeles, California Merrill Lynch, Pierce, Fenner & Smith Inc. Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Steven G. Holder ("Holder"), The Steven Holder Trust ("The Trust") and the Holder Fa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: National Securities Corporation (Claimant) vs. Antonio Coladonato (Respondent) Case Number: 07-00401 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant National Securities Corporation, hereinafter referred to as "Claimant": James Barbee, Esq., and Mark Roth, Esq., Golbeck Roth, PLLC, Seattle, WA. Respondent A

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03193 Citigroup Global Markets, Inc. ("Claimant") v. Sandy Fliderman ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Josepti D'Elia, Esq., Duane Morris, LLP, New York, NY. Respondent Sandy Fliderman did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Claimant alleged a loss

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Mario and Rosemarie Picinich (Claimants) vs. Morgan Stanley & Co., Inc., Morgan Stanley DW, Inc., and Jeffrey M. Alecci (Respondents) Case Number: 07-01578 Hearing Site: Newark, New Jersey Nature of the Dispute; Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Mario Picinich (M. Picinich) and Rosemarie Picinich ("R. Picinich"), hereinafter collec

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02016 Maria Theresa Blatter Name of the Respondent Hearing Site: San Juan, Puerto Rico Menill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Maria Theresa Blatter, hereinafter referred to as "Claimant": Kevin M. Kinne, Esq., Cain Hibbard Myers & Cook, PC, Pittsfield, Massachu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02242 Edward Bagley Names of the Respondents Hearina Site: Tampa, Florida Northeast Securities, Inc. Max Albert Assenheimer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Edward Bagley ("Bagley"), hereinafter referred to as "Claimant": John R. Kiefner, Jr., Esq., Kiefner Law Offices, P