Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 08-04898 Nilda Lupco Name of the Respondent Hearino Site: Tampa, Florida E^Trade Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Nilda Lupco appeared pro se. For Respondent E*Trade Securities, LLC: John Bersin, Associate General Counsel, E*Trade Financial Corp., Roseville, California an

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 08-04225 Almas Temple A.A.O.N.M.S. by and through its Potentate, Donald Ferguson Name of the Respondent Hearino Site: Washinaton. D.C. M&T Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Almas Temple A.A.O.N.M.S. by and through its Potentate, Donald Ferguson, hereinafter referred to as "Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00606 Royal Alliance Associates, Inc. Name of the Respondent Hearing Site: Baltimore, Maryland Joseph Michael Scarborough Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Royal Alliance Associates, Inc. hereinafter refened to as "Claimant": Gerry Kowalski, Esq., Marshall, Dennehey, Warner, Coleman & G

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-03654 Lester and Katharine Peer Robert and Helen Perkins Billy and Sharon Powell Name of the Respondent Hearino Site: BImiingham, Alabama Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Lester and Katharine Poer (collectively "Claimants Peer"), Rob and Helen Perkins (co

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03152 Hazel Simpson Names of the Respondents Hearing Site: Jackson. Mississippi Interactive Brokers, LLC 1^ Discount Brokerage, Inc. Ridge Clearing & Outsourcing Solutions Ryan M. Orlando Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTiES For Hazel Simpson, hereinafter referred to as "C

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02313 Janney Montgomery Scott LLC (Claimant) vs. John Robert Baker (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jill B. Clarke, Esq., Janney Montgomery Scott LLC, Philadelphia. PA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 24, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of contractual

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gretchen Burke (Claimant) vs. John Ebanietti, Jeffrey L. Tucker, and Citigroup Global Markets, inc. (Respondents) Case Number: 07-03030 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Gretchen Burke ("Claimant"): Francis Curran, Esq. and Liam O'Brien, Esq.. McCormick and O'Brien, LLP,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David I. Schoen (Claimant) v. Salomon Smith Barney, Inc., Charles Friedlander, and Lawrence Ellner (Respondents) Case Number: 08-02229 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant David I. Schoen hereinafter referred to as "Claimant": Eric J. Sussman, Esq., Casolaro & Sussman, LL

Award FINRA Dispute Resolution in the Matter of the Ari3itration Between: Name of the Claimant Case Number 08-03696 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Cleanwater, Florida John Fletcher Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James & Associates, inc.: Kelly Bulllngton, Esq., Assistant Vice President and Assistant Corporate Counsel. Raymond James & Associates,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00912 BBVA Securities of Puerto Rico, Inc. Name of the Respondent Hearing Site: San Juan, Puerto Rico Ramon Cantero-Frau Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For BBVA Securities of Puerto Rico, Inc., hereinafter referred to as "Claimant": Sonia Mubarak, BBVA Securities of Puerto Rico, Inc. appeared as