FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01386 Oppenheimer & Co., Inc., ("Claimant") vs. Richard A. Schwartz, ("Respondent") ATTORNEYS: Claimant appeared in-house counsel, Raquel Terrigno, Esq., New Yorl^, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 1,2007 CASE SUMMARY: Claimant alleged that Respondent breached a stabilization agreement

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Chaim A. Levin (Claimant) vs. GFI Securities, Inc., GFInet, Inc., Jersey Partners, Inc., and Inter-Dealer Broker, LLC (Respondents) Case Number: 02-03848 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Members and Non-Members. REPRESENTATION OF PARTIES Claimant Chaim A. Levin hereinafter referred to as "Claimant": Jeffrey Liddie, Esq., James A. Bat

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Erich R. Klein (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Douglas E. Woolley (Respondents) Case Number: 07-00121 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Erich R. Klein hereinafter referred to as "Claimant": Fredericl< J. Lanshe, Esq., Lanshe, Lanshe & Colli

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant A. G. Edwards & Sons, Inc. vs. Name of Respondent Heidi L. Rosenberg Case Number: 07-01081 Hearing Site: Des Moines, Iowa NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES A. G. Edwards & Sons, Inc. ("Claimant" or "AGE") was represented by Michael Naccarato, Esq., A. G. Edwards & Sons, Inc., St. Louis, Missouri.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01088 Richard O.K. Oppong Names of the Respondents Hearinq Site: Washington, D.C. E*Trade Securities LLC E*Trade Bank Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Richard O.K. Oppong ("Oppong"), hereinafter referred to as "Claimant": Lee Boothby, Esq., Washington, D.C. For E*Trade Secur

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Barbara Gordon vs. Case Number: 03-00077 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., David H. Komansky, and Deepak D. Raj NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Barbara Gordon ("Claimant") was represented by Jakes Jordaan, Esq., Jordaan & Ril

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02559 Gary A. Fitzer Names of the Respondents Hearina Site: Charlotte, North Carolina Edward D. Jones, LLP Hartford Investment Financial Services Hartford Securities Distribution Co. Hartford Equity Sales Company, Inc. Merry Lynne Mosbacher Paul Douglas Weise John William Bachmann Douglas Elwyn Hill James Donald Weddle

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Names of the Claimants Case Number: 07-00987 Roger Spinks, Jr. Roger Spinks, Sr. Lawrence Juette Timothy Drenth and Karen Driftmyer Drenth Estate of Gary Driftmyer Joan B. Reid, individually and as Trustee of the Joan B. Reid Revocable Living Trust dated October 2002 Richard McDonald Lois Salaun Stephen Salaun Ann Potteiger Linda Shirar Names of the

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ben Miller Irrevocable Trust, Patricia A. Miller.Trustee, Harry Culbreath, and Donna Rae Bell (Claimants) vs. Foresters Equity Services, inc. (Respondent) vs. Louis Mercado (Third Party Respondent) Case Number: 05-01363 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member vs. Associated Person. REPRESENTATION OF PARTIES Claimants Ben Miller Irrev

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Heath Gary Goldstein (Claimant) vs. Charles J. Ehnot, Jr., Deborah A. Ehnot, First Financial Services, Inc., and DA-E Financial Group, Ltd. (Respondents) Case Number: 07-01512 Hearina Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Associated Person and Non-Members. REPRESENTATION OF PARTIES Claimant Heath Gary Goldstein hereinafter referred to as "Claimant" a