AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dwayne Witt Revocable Trust, Dwayne L. Witt, Trustee; Dwayne L. Witt; Barbra Witt Trust, Barbara L. Witt, Trustee; Gerard Timothy, Individually and as Beneficiary of the Ruby Timothy, Deceased IRA; Clarence Koester; Betty Zahn (IRA); Harold Zahn; Betty Zahn; and Dariene Brown. IRA vs. Names of Respondents Capital Growth Financial, LLC. Wac

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02906 Elizabeth N. Nolan ("Claimant") vs. William Bowen Astrop, Jr. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Naples, FL. Respondent appeared Pro se, Atlanta, GA. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: August 13,2008 CASE SUMMARY: Claimant alleged that Respondent filed inaccurate, materially lacking in appropriate context, and short on speci

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Doran (Claimant) vs. CISC World Markets Corp. (Respondent) Case Number: 08-00160 Hearina Site: Buffalo. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Michael Doran ("Claimant"): Howard M. Rosenfield, Esq.. Law Office of Howard Rosenfield, Fannington, CT. Respondent CISC World Markets Corp. ("Respondent"): Lloyd S. Cla

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01556 Robert Goldfine, (Claimant) vs. Fidelity Brokerage Services. LLC (Respondent) ATTORNEYS: For Claimant: Curtis E. Pew, Esq., Hofstra University Securities Arbitration Clinic, Hempstead, NY. For Respondents: Erin K. Fair, Esq., Fidelity Brokerage Services LLC, Boston, MA. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: May 15, 2008. CASE SUMMARY: Claimant alleged breach of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, inc. f/k/a Salomon Smith Barney. Inc. (Claimant) vs. Harry Virunurm (Respondent) Case Number: 07-02448 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., hereinafter referred to as "Claimant": Kenneth O'Connor,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Steven A. Rothstein, Steven A. Rothstein IRA, Nancy Rothstein IRA, Caroline Rothstein. Nancy Rothstein, In her capacity as Administrator of the Estate of Joshua Rothstein, Steven A. Rothstein C/F Natalie Rothstein UGMA/IL, Shelton Sheffemnan. and Craig M. Gould vs. Case Number: 06-04000 Hearing Site: Chicago, Illinois Name of Respondent Mark G

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 07-02067 Dennis Brooks Name of the Respondents: Hearing Site: Seattle, Washington S.W. Bach & Company Adam Sclafani Angel L. Suarez Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant. Dennis Brooks ("Brooks"), hereinafter refened to as "Claimant": Richard D. Brady. Esq., Richard Dent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Pointe Capital, Inc. (Claimant) vs. Nicolas Esteban Arango (Respondent) Case Number: 08-02938 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Pointe Capital, Inc., hereinafter referred to as "Claimant": Daniel R. Levene, Pointe Capital, Inc.. Boca Raton. FL. Respondent Nicolas Esteban Arango hereinafter re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Trustees of the Masonic Hall and Asylum Fund (Claimant) vs. Advest, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondents) Case Number: 08-00568 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant The Trustees of the Masonic Hall and Asylum Fund hereinafter referred to as "Claimant": Jonathan B. F

Award FtNRA Dispute Resolution In the Matter of the Arbitration Between: Michael C. Vanin (Claimant) vs. Wachovia Securities, LLC and Prudential Equity Group, LLC (Respondents) Case Number: 07-03221 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Michael C. Vanin hereinafter referred to as "Claimant": Valerie S. Carter. Esq., Carter & Doyle. LLP, Lexington, MA. Responde