stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jerome Le Jamtel (Claimant) vs. Calyon Securities (USA), Inc. (Respondent) Case Number: 08-04000 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. I\1ember. REPRESENTATION OF PARTIES Claimant Jerome Le Jamtel hereinafter referred to as "Claimant": Andrew J. Melnick, Esq., and Matthew A. Katz, Esq., Schindler Cohen & Hochman LLP. New York, NY.

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Dr. Iraki! Glonti and David Dateshidze (Claimants) vs. Lehman Brothers Inc., and RBC Dain Rauscher inc. (Respondents) Case Number: 08-00405 Hearino Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimants Dr. Irakli Glonti ("Glonti") and David Dateshidze, hereinafter collectively referred to as "Claimants": Ar

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Kevin J. Cougie, Jeffrey Thibauit, and Dann Neaie (Claimants) vs. HSBC Securities (USA) Inc. (Respondent) Case Number: 06-04943 Hearing Site: Buffalo. New Yori^ Nature of the Dispute: Associated Persons vs. Members. REPRESENTATION OF PARTIES Claimants Kevin J. Cougie ("Cougie") and Dann Neale ("Neaie"): Kevin J. Mirch, Esq., and Marie Mirch. Esq., Mirch & Mirch, San Diego. CA.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04106 SMH Capital Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Louis Beri< owrtz Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For SMIH Capital Inc.. hereinafter referred to as "Claimanf: Andrew R. Han/in, Esq., Doyle, Restrepo, Marvin & Robbins, L.L.P.. Houston, Texas. F

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 00-00127 Sanfbrd Josephson, individually and as Trustee of the Sanfbrd Josephson Revocable Living Trust Name of the Respondent Hearino Site: Boca Raton, FL Citigroup Global Maricets. Inc. a/k/a Smith Bamey, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sanford Josephson, individually and as Tru

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01447 Annette S. IHines Names of the Respondent s Hearing Site: Jackson, Mississippi First Allied Securities, Inc. FFP Securities, Inc. Ladd Grapski Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Annette 8. Mines, hereinafter referred to as "Claimant": Lee Bowie, Esq., Davidson

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Names of the Claimants Case Number: 08-03109 Andrew M. Stein Stein Holdings, Inc. Stein investments, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Keegan & Company Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION QF PARTIES For Andrew M. Stein, Stein Holdings, Inc. and Stein Investments. LLC, hereinafter collectively referred

AWARD rlNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Banc of America Investment Services. Inc. vs. Case Number 08-04560 Hearing Site: Dallas, Texas Name of Respondent Kevin M. Triztia NATURE QF THE DISPUTE Member vs. Associated Person REPRESENTATION QF PARTIES Banc of America Investment Services, Inc. ("Claimant" or "BAI") was represented by Diane C. Fischer, Esq. and Gregory Simon, Esq.. Kane & Fi

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joel Handorf vs. Case Number: 09-04061 Hearing Site: Columbus, Ohio Names of Respondents Charles D. Luttjohann, and Charles D. Luttjohann, IRRA NATVRE OF THE PI8PUTE Associated Person v. Customer REPRESENTATION OF PARTIES Joel Handorf ("Claimant" or "HandorT) was represented by Eric A. Michaels, Esq., Saretsky Hart Michaels & Gould

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Thomas Untiedt. James Untledt, Anna L. IHodges, the Anna Hodges Living Trust, and the Thomas Untledt Living Trust vs. Case Number. 07-02750 Hearing Site: Detroit, Michigan Names of Respondents GunnAlien Financial, Inc., Franl^ J. Biuestein, Questar Capital Corporation, Maximum Financial Group, Inc., and F.F., inc. and Name of Cross-Claimant