Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vera Maria Knowles IRA FBO Vera Maria Knowles, Claimant v. Merrill Lynch, Pierce. Fenner & Smith Incorporated and Matthew Coliier, Respondents Case Number: 07-00877 Hearing Site: San Francisco, Califomia Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Vera Maria Knowles Brentwood, Califomia For Respondents: H. Kyeng Le

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Adam Aspes, Scott Hootman, Jacob Morton, Curtis Thompson and Catherine Lesterhuis (Claimants) vs. Moors & Cabot, Inc., Daniel Joyce, Michael Braun, William Devin, JR., and Brian Foley (Respondents) Moors & Cabot, Inc., vs. Sterne, Agee & Leach, Inc., Sterne Agee Capital Markets, Inc., and Sal Financial Services, Inc., d/b/a Sterne Agee Financial Services (Third-Party Respondents)

AWARD FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc., in its own right and in its capacity as assignee of Advest, Inc. vs. Name of Respondent Edward Joseph Wetzel and Name of Claimant/Counter-Respondent Merrill Lynch, Pierce, Fenner & Smith Inc., in its own right and in its capacity as assignee of Advest, Inc. vs. Name of Respondent/Counter-C

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01635 Michael Pata and Steven Dubinsky ("Claimants") vs. Institutional Equity Corp. (Respondent") ATTORNEYS: Michael Pata ("Claimant") appeared pro se, Hunfington, NY Steven Dubinsky ("Claimant") appeared pro se, Dix Hills, NY Respondent Institutional Equity Corp. did not submit an answer to the Statement of Claim. Michael Pata and Steven Dubinsky are hereinafter collectively refer

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Marvice Dodds and Mary Dodds, Individually, as owners of Dodds Body Works, Inc., and Trustees of Dodds Body Works, Inc. Defined Benefit Pension Plan (Claimants) vs. Michael Charles Ballou, Ronald Arthur Lewis, Raymond James & Associates, and Raymond James Financial Services, Inc. (Respondents) Case Number: 06-00429 Hearinq Site: Columbus, Ohio Nature of the Dispute: Customers vs. Me

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: John Coates (Claimant) vs. Salomon Grey Financial Corp., Woodstock Financial Group f/k/a Raike Financial Group, and Michael Palmieri (Respondents) Case Number: 07-00023 Hearing Site: New York, New York Nature ofthe Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant John Coates hereinafter referred to as "Claimant": Vincent J. Imbesi, Esq., Av

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Neil Snoep (Claimant) vs. J.P. Morgan Securities, Inc. (Respondent) Case Number: 07-01124 Hearing Site: New York, New York Nature ofthe Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Neil Snoep hereinafter referred to as "Claimant": Ethan Brecher, Esq., Liddle & Robinson, L.L.P.. New York, NY. Respondent J.P. Morgan Securities, Inc., hereinafter referr

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Names of the Claimants Case Number: 05-01724 Geradons, S.L. Salvador Porte Eduardo Kawas Name of the Respondent Hearinq Site: Boca Raton, Florida Goldman Sachs & Co. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Geradons, S.L., Salvador Porte and Eduardo Kawas, hereinafter collectively referred to as "Claimants": Dale Ledbetter, Esq. and J

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mondana Ghazanfari, Claimant v. RJJ Pasadena Securities, Inc. a/k/a Riordan Johnston & Javadizadeh, Inc., Nusheen R. Javadizadeh and Shapour Javadizadeh, Respondents Case Number: 06-04288 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Jonathan W. Evans, Esq. Law Offices of Jonath

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Issa Razzaghi, Claimant v. WM Financial Services, inc. f/k/a/ Griffin Financial Services, and David William Andersen, Respondents Case Number: 07-00410 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Issa Razzaghi ProSe Monrovia, California For Respondents: Richard B. Davis, Es