Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Francis R. Filosa, Claimant v. Charies Schwab & Co., Inc., Janus Distributors LLC and Alan Avedissian, Respondents Case Number: 06-03882 Hearino Site: Los Angeles, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Francis R. Filosa In Propria Persona Glendale, California For Respondents Charies Schwab & C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jonathan E. Peace, Susan Matin Peace, and Guity Moghadam, Claimants v. Merrill Lynch, Pierce, Fenner& Smith Incorporated, Neil J. Surgenor, and Jim Lau, Respondents Case Number: 01-00028 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Jonathan E. Peace In Propria Persona and as Pa

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01121 National Securities Corporation ("Claimant") vs. Jeffrey Leo ("Respondent") ATTORNEYS: For Claimant National Securities Corporation appeared Michael S. Colombo of StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ Respondent Jeffrey Leo appeared pro se, Wayside, NJ NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 9, 2007 CASE SUMMARY: Claimant alleged that R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Austin, Hatch & Smith, LLC d/b/a Christopher Street Financial (Claimant) vs. Susan M. Simons and Elizabeth A. Jones (Respondents) Case Number: 06-00492 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Austin, Hatch & Smith, LLC d/b/a Christopher Street Financial hereinafter referred to as "Claimant": John

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Tore Investments and Research, LLC (Claimant) vs. DE Trading, LLC (Respondent) Case Number: 07-02106 SITUS: New York, New Yorl< NATURE OF DISPUTE: IVIember v. Terminated IVIember. REPRESENTATION OF PARTIES Tore Investments and Research, LLC, hereinafter referred to as "Claimant": Ben Delfin, Esq., Sonneschein Nath & Rosenthal, LLP, New York, NY. Respondent DE Trading, LLC,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Ameena All Names of the Respondents Delta Equity Service Corporation, Inc. Robert Henderson, Jr. Acument Securities, Inc. William E. Stenlund Case Number: 04-04358 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES For Ameena All, hereinafter referred to a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lewis Ira Goldman (Claimant) vs. Finacorp Securities and Eduardc Jose Prado (Respondents) Case Number: 06-03677 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lewis Ira Goldman, hereinafter referred to as "Claimant" appeared pro se. Respondents Finacorp Securities ("Finacorp") and Ed

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anthony Titone (Claimant) v. RBC Dain Rauscher, Inc., as Successor-in-interest tQ Tucker Anthony, Inc., and Stanley Hochhauser (Respondents) Case Number: 05-01106 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person; REPRESENTATION OF PARTIES Claimant Anthony Titone hereinafter referred to as "Claimant": Kimberiy Testa, Esq.,

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Sapack (Claimant) v. CIBC World Markets Corp. (Respondent) Case Number: 06-05212 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Michael Sapack hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Farmington, CT. Respondent CIBC Worid Markets Corp., hereinafter referred to as "Re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ethel Vidas, individually, as Trustee of the Ethel Vidas Trust Dtd 4-2-97; and as Successor Trustee of the Harry C. Vidas Trust Dtd 4-2-97 vs. Name of Respondent UBS Financial Services inc. Case Number: 06-04247 IHearing Site: Cincinnati, Ohio NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Ethel Vidas, individuall