Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants / Counter-Respondents: Case Number: 07-00148 Joseph Toboni Mary Toboni JT Builders Name of the Respondent / Counter-Claimant: Hearina Site: Milestone Financial Services San Francisco, California Nature of the Dispute: Customers vs. Member Member vs. Customers REPRESENTATION OF PARTIES Claimants / Counter-Respondents Joseph Toboni, Mary Toboni,

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Paulson Investment Company, Inc. Name of the Respondent Brian L. Kirk Case Number: 07-02129 Hearina Site: Portland, Oregon Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, Paulson Investment Company, Inc., hereinafter referred to as "Claimant": Keith A. Ketterling, Esq. and Emily S. Courtnage, Esq

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-00393 Peter Grymkowski Name of the Respondent Hearina Site: Los Angeles, California UBS Financial Services, Inc. Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Peter Grymkowski, hereinafter refen-ed to as "Claimant": Bryan C. Altman, Esq., The Altman Law Group, Beverly Hills, California Respondent, UBS

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02168 Ruth Grace Megnet Name of the Respondent Hearing Site: Houston, Texas Patrick J. Manriquez Nature of the Dispute: Customer v. Associated Person REPRESENTATION OF PARTIES Claimant, Ruth Grace Megnet, hereinafter referred to as "Claimant": Pro Se, Beaumont, Texas Respondent, Patrick J. Manriquez, hereinafter referred to as "Respo

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02552 Wells Fargo Investments, LLC Name of the Respondent Hearing Site: San Francisco, California Andrea X. Bulow Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Investments, LLC, hereinafter referred to as "Claimant": Gregory B. Simon, Kane & Fischer, Ltd., Chicago, Illinois

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Paul E. Roupinian Name of the Respondents UBS Financial Services Inc. John W. Orr Name of the Counter-Claimants UBS Financial Services Inc. John W. Orr Name of the Counter-Respondent Paui E. Roupinian Case Number: 07-02281 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member and Associated Person

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gerald P. Kessler (Claimant) vs. Wachovia Securities, LLC and Paul S. Baker (Respondents) Case Number: 07-01458 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Gerald P. Kessler hereinafter referred to as "Kessler": Harold Semanoff, Esq., Semanoff Onnsby Greenberg &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mariam Nigohoslan (Claimant) vs. Waterhouse Securities a/k/a TD Waterhouse Investor Services, Inc. (Respondent) Case Number: 04-07141 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Mariam Nigohosian ("Claimant"): Kevin P. Conway, Esq., Conway & Conway, New York, NY. Claimant previously appeared pro se. Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ann Woodhouse and the Estate of Melvyn Woodhouse (Claimants) vs. J.P. Turner & Company, L.L.C., Damascus I. Lee, and Berrlnal Chery (Respondents) Case Number: 06-05229 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Ann Woodhouse ("A. Woodhouse") and the Estate of Melvyn Woodhouse by A. Wood

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01526 Richard D. Crandall Name of the Respondent Hearing Site: Oriando, FL Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Richard D. Crandall, hereinafter referred to as "Claimant": Curtis Carison, Esq., Carison & Lewittes, P.A., Miami, FL. For Citigroup Global Market