Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nordo Nissi (Claimant) v. Prudential Equity Group, LLC, Michael W. Kaufman and Debra Kaufman (Respondents) Case Number: 06-03902 IHearinq Site: Boston, Massachusetts Nature of the Dispute: Associated Person v. Member and Customers. REPRESENTATION OF PARTIES Claimant Nordo Nissi hereinafter referred to as "Claimant": Thomas J. Gleason, Esq., Gieason Law Firm, Haverhill, MA.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sheldon and Olivia Spitz JTRWS, Spitz Family Partnership LP, and Sheldon Spitz General Partner (Claimants) vs. Timecapital Securities Corporation & Jeffrey Harriton (Respondents) Case Number: 06-02864 Hearinq Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Sheldon and Olivia Spitz JTRWS ("Spitz JTRW

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Umesh Tandon (Claimant) vs. Advest, Inc. and AXA Financial Company (Respondents) Case Number: 05-05363 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Umesh Tandon hereinafter referred to as "Claimant": James A. Batson, Esq. and David Marek, Esq., Liddle & Robsinson, L.L.P., New York, NY. Re

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00973 Delia Vega (Claimant) vs. Obenweis Securities, Inc. and Jose A. Lopez, Jr. (Respondents) ATTORNEYS: For Claimant Delia Vega appeared Jeffrey M. Gershon, Esq., of the law-firm of Shaheen, Novoselsi^y, Staat, Fiiipowsi^i & Eccleston, P.C, Chicago, IL. For Respondents Obenveis Securities Inc. and Jose A. Lopez, Jr. appeared Joseph C. Wylie, II, Esq. of the law-firm of Bell, Boyd & L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Wells Fargo Investments, LLC vs. Case Number: 06-02033 Hearing Site: Houston, Texas Name of Respondent/Counter-Claimant Eduardo M. Tejeda NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments, LLC ("Claimant" or "Wells Fargo") was represented by Ronald Kane, Esq., Kane & Fischer,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Carlo E. Russell (Claimant) vs. Merrill Lynch Pierce Fenner & Smith (Respondent) Case Number: 07-01122 Hearinq Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Carlo E. Russell, hereinafter referred to as "Claimant" appeared pro se. Respondent Merrill Lynch Pierce Fenner & Smith, hereinafter referred to as "Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Louis R. Rosenwein a/k/a Louis R. Rose, Meredith Reich Rosenwein, Individually and as Trustee of certain Trusts for the benefit of Robert Lee Rosenwein and Jordan Nathan Rosenwein, as Co-Trustee of a certain Trust for her benefit, and as Custodian for Robert Lee Rosenwein, under the Uniform Transfers to Minors Act, Florence Rosenwein, Sari Rosenwein, Individually, and as Custodian for

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Wells Fargo Investments. LLC. Claimant v. Nelvine A. Ocampo. Respondent Case Number: 06-05354 Hearing Site: Los Angeles, Califomia Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant / Counter-Respondent Well Fargo Investments. LLC (hereinafter referred to as "Claimant"): For Respondent / Counter-Claimant Nelvine A. Ocampo (her

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Citigroup Global Markets Inc., Claimant v. Mitchell R. Jesse, Respondent Case Number: 06-04912 Hearinq Site: Reno, Nevada Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brian C. Free, Esq. Hillis Clark Martin & Peterson Seattle, Washington For Respondent: Mitchell R. Jesse ProSe Reno, Nevada CASE INFORMATION S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Cans, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 07-00223 Hearinq Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Robert D. Mitchell, Esq. Julie M. Beauregard, Esq. Mitchell & Forest Phoenix, Arizona For Respondent: Joseph L. Hood, Jr., Esq. Scott, Hulse, Marshall,