FINRA DISPUTE RESOLUTION AWARD FlWRA DISPUTE RESOLUTION CASE: 07-01570 Oleg Bychkov (Claimant) vs. Frank Rocco Monte (Respondent) AITORNEYS: '~" Claimant Oleg Bychkov appeared pro se, Brooklyn, NY. Respondent Frank Rocco Monte appeared pro se. New York, NY. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: May 18, 2007 CASE SUMMARY: Claimant alleged breach of contract and commission owed. Claimant maintained that due to Respo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George Nordike (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc., and Israel Epstein (Respondents) Case Number: 06-03972 Hearing Site: New York, New York Nature of the Dispute: Customervs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant George Nordike hereinafter referred to as "Claimant" appeared pro se. Previously represented by Anthony J. Hom, Esq., L

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW, Inc., and Morgan Stanley Funding Services Corporation (Claima.nts) vs. Daniel B. Silverberg (Respondent) Case Number: 06-05125 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member and Non Member vs. Associated Person. REPRESENTATION OF PARTIES Claimants Morgan Stanley DW, Inc., ("Morgan Stanley") and Morgan Stanley Funding Service

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lewis Zipkin (Claimant) vs. Oppenheimer & Co., Inc., and Ernest A. Mishne (Respondents) Case Number: 05-05548 Hearina Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lewis Zipkin hereinafter referred to as "Claimant": Thomas C Wagner, Esq., Van Deusen & Wagner, LLC, Cleveland, OH. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00149 Averill Fisk Name of the Respondent Hearing Site: Boca Raton, Florida TradeStation Securities Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Averill Fisk, hereinafter referred to as "Claimant": Lonnie K. Martens, Esq., The Martens Law Firm, Jupiter, Florida. For TradeStation Securities, hereinafter re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07280 Michael H. Lewis Francelle N. Lewis Name of the Respondent Hearinq Site: New Orieans, Louisiana UBS Financial Services, Inc. Nature of the Dispute: Associated Person and Customer vs. Member. REPRESENTATION OF PARTIES For Michael H. Lewis ("M. Lewis") and Francelle N. Lewis ("F. Lewis"), hereinafter collectively referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Henry C. Stockman. Claimant v. Bear Steams & Co. Inc., Respondent Case Number: 06-04496 Hearina Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: William M. Ziering. Esq. San Francisco, Califomia For Respondent: Gilbert R. Serota, Esq. Howard Rice Nemerovski Canady Falk & Rabkin San Franci

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Franklin Allen Fitch Names of the Respondents H&R Block Financial Advisors, Inc. Manish Mukhi Case Number: 06-04416 Hearing Site: Washington, D.C. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Franklin Allen Fitch, hereinafter referred to as "Claimant": Richard J. Edson, Esq., Sacr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 07-00265 Heather Asbell Names of the Respondents Hearing Site: Nashville, Tennessee Woodbury Financial Services, Inc. Douglas O'Rear Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Heather Asbell, hereinafter referred to as "Claimant": Jonathan Jackson Pledger, Esq., Brentwood, Tennes

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert W. Gloor (Claimant) vs. Wayne A. Schultz, Louis N. Mancinelli, and Your Money Matters Brokerage Services (Respondents) Case Number: 07-00346 Hearinq Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Robert W. Gloor hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., Attorney at Law,