Award NASD Dispute Resolntion In the Matter of the Arbitration Between: •Mam*. f>f tVio rifljmantg PacP TMimi>v^- 00-01084 I-Ling and Diana Chow Mamff nf thf ^F-KpnnAmu H«>aritig sitP- Washington, DC Makefield Securities Corporation Alvin Hoffinan 'ARTfFS Claimants, I-Ling and Diana Chow ("Chow") hereinafter referred to as "Claimants": John P. Connolly, Esq., Law Offices of John P. Connolly, Alexandria, VA. Respondent, Makefield Securities C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nagai S. Rajendran (Claimant) vs. Emmett A. Larkin Company, Inc. (Respondent) Case Number: 06-03425 Hearing Site: New York, New York • Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Nagai S. Rajendran hereinafter referred to as "Claimant": Benjamin Lapin, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respondent Emmett A. Larkin Company,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: MidSouth Capital, Inc. (Claimant) vs. Roger Charles Faubel (Respondent); and Dow Financial Services (additional Party CounterClaimant) Case Number: 05-00899 Hearing Site: Cleveland, Ohio Nature of the Dispute: Member vs. Associated Person; Non-Member. REPRESENTATION OF PARTIES Claimant MidSouth Capital, Inc., hereinafter referred to as "Claimant:" Thomas R. Todd, Jr., Esq., Atl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00621 LaSalle Street Securities, L.L.C. Name of the Respondent Hearing Site: Raleigh, NC Morris C. Weisner Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For LaSalle Street Securities, L.L.C. ("LaSalle"), hereinafter referred to as "Claimant": Stephen B. Diamond, Esq., Schad, Diamond & Shedden, P.C, Chicag

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00715 Luther B. Oakes, Jr. Name of the Respondent Hearing Site: Jackson, Mississippi UBS PaineWebber Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Luther B. Oakes, Jr., hereinafter referred to as "Claimant": Kirk G. Smith, Esq., Shepherd, Smith & Edwards, LLP, Houston, Texas. For UBS PaineWebber, hereinaft

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Christopher W. Glaub vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith Inc. Case Number. 05-06038 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Christopher W. Glaub ("Claimant") was represented by James C. Steffi, Esq., Law Offices of James C. Steffi, Bingham Farms, Michigan.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00586 Scott Efron Karen Efron Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Scott Efron and Karen Efron, hereinafter referred to as "Claimants": Jeffrey Erez, Esq., Sonn & Erez, Fort Lauderdale, Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claire Cross, Claimant v. Samuel P. Solomon, Solomon Advisors, and Southwest Securities, Inc., Respondents Case Number. 06-04143 Hearing Site: Dallas, Texas Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Marie H. How, Esq. How Frels Rohde Woods &Dulee Dallas, Texas For Respondents Samuel P. Solomon and Solomo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Connie Hamrah, Trustee of the Anthony D. and Doris P. Campagna Inrevocable Trust, July 22, 1988, Claimant v. UBS Financial Services. Inc., Ross Weller Galloway and Douglas John Hedley Jr., Respondents Case Number: 07-00197 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. I\1ember and Associated Persons REPRESENTATION OF PARTIES For Claimant: Connie Ja

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jed Kaplan (Claimant) vs. Leonard Feinberg Trust, Leonard Feinberg IRA, Barbara Feinberg IRA, Robert Futterman IRA, Helene Futterman Roth IIRA, and Helene Futterman (Respondents) Case Number: 07-00462 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Customers. REPRESENTATION OF PARTIES Claimant Jed Kaplan hereinafter referred to as "Claimant": Steph