Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01851 BOSC, Inc. Name of the Respondent Hearing Site: Memphis, Tennessee Brinkley Overton Farnsworth Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES BOSC, Inc., hereinafter referred to as "Claimant": Erica Anne Donwart, Esq., Frederic Dorwart LLC, Tulsa, Oklahoma. Brinkley Overton Farnsworth, hereinafte

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03861 Wachovia Securities, LLC Name of the Respondent Hearing Site: Tampa, Florida James R. Tuberose Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Demian Betz, Vice President, Assistant General Counsel, Wachovia Securities, LLC, Richmond,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00255 H&R Block Financial Advisors, Inc. Name of the Respondent Hearing Site: Tampa, Florida Tara Richardson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For H&R Block Financial Advisors, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-01724 Geradons, S.L. Salvador Porte Eduardo Kawas Name of the Respondent Hearing 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

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John Rauch vs. Name of Respondent Menrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 06-02189 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES John Rauch ("Claimant") was represented by Mark E. Maddox, Esq., Maddox Hargett & Caruso, PC, Fischers, Indiana. Merrill Lynch, Pierce,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Joseph and Rhonda Jensen, Individually and as Trustees for the Jensen Family Living Trust, Jody Jensen, Individually and for the Arthur L. Jensen Trust FBO Jody Allen Jensen Heritage Trust, Jennifer Jensen, Individually and for the Arthur L. Jensen Trust FBO Jennifer Janelle Jensen Heritage Trust, and Arthur L. Jensen, as Trustee for the J

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01186 William H. Westerman, ("Claimant") vs. Wachovia Securities, LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se. Rock Hill, NY. For Respondent appeared in-house counsel David J. Rice, Esq., Richmond, VA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 9, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to cancel orders to sell stocks. Claimant maintaine

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alisa Gabriel (Claimant) vs. Fidelity Brokerage Sen/ices, LLC, Fidelity Investment CO., Fidelity Service Company, Inc., Strategic Advisors, Inc., and John Arena (Respondents) Case Number: 06-03226 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member, Non-Members, and Associated Person. REPRESENTATION OF PARTIES Claimant Alisa Gabriel, hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul Ehrenstein Associates, Inc., and Paul Ehrenstein (Claimants) vs. Bruce Kelly and Nolan Securities Corporation (Respondents) Case Number: 06-04725 Hearing Site: New York, New York Nature of the Dispute: Non-Member and Associated Person vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Paul Ehrenstein Associates, Inc., ("Ehrenstein Associates") and Pa

N.A.S.O. AHARD .^IATIJNAL .^SCC:ATICN CF SECL-RITIZS DEALERS In the Matter of the Acbituracion Between Name of rif^jpipnurat Oppenheiner & Co., Inc. 90-00013 Robert B. Peterson T.J. Raiwy & Sonsr Inc. Bdttjy Ranay In a clajjn filed vrith the National Association of Securities Dealers, Inc. ("HASD") on or about Oecenber 28, 1989, Clainanc OppenhBinar & Co., Inc. ("Oppenheimar") allegad that Raspondsnt Robert Patacson ("Petersan") agreed