Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04256 Jose A. Rivera Names of the Respondents Hearinq Site: Oriando, FL Galleon Merchant Banking n/k/a Granite Associates, Inc. James Morrell John D. Elwin Nicholas Natale Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jose A. Rivera, hereinafter referred to as "Claimant": Scot

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Louis Kent and Virginia Kent vs. Case Number: 04-01862 Hearing Site: Dallas, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and M. Scott Bowles NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Louis Kent ("L. Kent") and Virginia Kent ("V. Kent"), hereinafter collectively referre

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Barbara Delashmitt (Claimant) vs. Firstserv Securities, Inc., Bestvest Investment Brokerage Services, First Liberty Investment Group, David Lamb, Barry MacNeal, and MacNeal Associates, LLP (Respondents) Case Number: 06-00091 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member, Non-Members, and Associated Persons. REPRESENTATION OF PARTIES Claiman

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stifel, Nicolaus & Company, Inc., Stephen Frederick Jusick, Frank Melvin Whiteside, and Robert Allen Andresen (Claimants) vs. RBC Dain Rauscher, Inc. (Respondent) Case Number: 06-02146 Hearina Site: Newark. New Jersey Nature of the Dispute: Member and Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimant Stifel, Nicolaus & Company, Inc. ("Stifel"): Jeffrey J. Kalinowski

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00798 John Egri Names of the Respondents Hearing Site: Boca Raton, Florida CIBC Worid Markets Corp. Jeff Bank Susan Sutherland Arthur Lewis Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For John Egri, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Blum & Silver, P.A

AWARD FINRA Dispute Resolution In the l\/latter of the Arbitration Between: Name of Claimant Anthony Joseph Bosco vs. Case Number: 07-01351 Hearing Site: Columbus, Ohio Name of Respondent Nationwide Investment Services Corporation NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Anthony Joseph Bosco ("Claimant") appeared pro se. Nationwide Investment Services Corporation ("Respondent") was represented by N

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John Q, Smith vs. Case Number: 06-04383 Hearing Site: Chicago, Illinois Name of Respondent Goldman. Sachs & Co. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES John Q. Smith ("Claimant" or "Smith") was represented by Rodney J. Heggy, Esq., Federman & Sherwood, Oklahoma City. Oklahoma. Goldman, Sachs & Co. ("Respo

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant vs. Jacob Perdie, Respondent Case Number: 07-01794 SITUS: Boca Raton, Florida. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES Wachovia Securities, LLC, hereinafter referred to as "Claimant": Gregory Tendrich, Esq., Law Office of Gregory Tendrich, PA, Boca Raton, Florida. Respondent Jacob Perdie ("Perdie") did no

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Jose Ruelas, Claimant v. Wachovia Securities, LLC and Stephen W. Wilson. Respondents Case Number: 07-00362 Hearina Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent Wachovia Securities, LLC: For Respondent Stephen W. Wilson: Paul W. Thomas, Esq. Thomas & Ataie LLP

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Philip I. Maggio, Jr. vs. Names of Respondents E'^Trade Securities, LLC, and Cambrex Corporation and Name of Claimant Philip I. Maggio, Jr. vs. Name of Respondent E*Trade Securities, LLC Case Number: 07-01808 Hearing Site: Detroit, Michigan Consolidated with: Case Number: 07-01998 Hearing Site: Detroit, Michigan NATUR