Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 06-00479 Wachovia Securities, LLC, successor in interest to First Union Securities, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Richard E. Rubin Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, successor in interest to First Union Securities, Inc., hereinafter

Award FINIRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 07-01059 Edward Francis Tamas Names of the Respondents Hearinq Site: Atlanta, Georgia Charles Schwab Charles Schwab & Co., Inc. Nature ofthe Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Edward Francis Tamas appeared pro se. For Charles Schwab ("Schwab") and Charles Schwab & Co., Inc. ("CSCI"), h

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Steven Thompson. Claimant v. UBS PaineWebber Inc. n/k/a UBS Financial Services Inc., Respondent Case Number: 06-00618 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: James Jay Seltzer, Esq. Timothy D. Murphy, Esq. Law Offices of James Jay Seltzer Emeryville, California For Respondent: Kathleen

Award FINRA Dispute Resoiution In the Matter ofthe Arbitration Between: Yoland Melik-Hovsepian and Hovesep Melik-Hovsepian, Claimants v. First Allied Securities, Inc., Respondent First Allied Securities, Inc., Counter-Claimant v. Hovesep Melik-Hovsepian, Counter- Respondent Case Number: 97-04443 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member Member v. Customer REPRESENTATION OF PARTIES For Claimants and Coun

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jarrett Owens, Claimant v. TD Ameritrade, Inc., Respondent TD Ameritrade, Inc., Counter-Claimant v. Jarrett Owens, Counter-Respondent Case Number: 07-00649 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member Member v. Customer REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists San Diego, California Fo

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Alyson W. Johansen vs. Name of Respondent Washington Square Securities, Inc. Case Number: 03-05904 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Alyson W. Johansen ("Claimant") was represented by Gary A. Weisman, Esq., Minneapolis, Minnesota. Washington Square Securities

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Barry Raykoske vs. Case Number: 05-06441 Hearing Site: Dallas, Texas Names of Respondents NFP Securities, Inc.; FSC Securities Corporation; William H. Matthews, individually and d/b/a Matthews Financial Service; and Gregory A. Matthews NATURE OF THE DISPUTE Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Barry R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael E. Marciano and Joseph Marciano (Claimants) vs. MONY Life Insurance Company f/k/a Mutual Life Insurance Company of New York, MONY Securities Corp., The MONY Group, Inc., MONY Holdings, LLC, MONY Brokerage, Inc., A)(A Advisors, LLC, and AXA Financial, Inc. (Respondents) Case Number: 06-00650 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Persons v

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Deborah A. Magnotta, individually, Deborah A. Magnotta, as Executrix of the Estate of Joseph T. Amato (d/o/d 5/27/00) and Deborah A. Magnotta as Executrix of the Estate of Gloria C. Amato (d/o/d 9/4/02) (Claimants) v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., Victory Capital Advisers, Inc., f/k/a Newbridge Partners, LLC, James B. Cowperthwait, Ellis O

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 06-04316 Zhao Van Hong Essence City, Ltd Amicorp Development Ltd Precise Power Holdings, Ltd Name of the Respondent Hearing Site: Boca Raton, Florida Capital Growth Financial, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Zhao Van Hong ("Hong"), Essence City, Ltd ("Essence"), Amicorp Development Ltd