Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-03274 Oppenhelmer & Co. Inc. Respondent Hearing Site: Los Angeles, Califbmia Edward M. McNally Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Oppenhelmer & Co. Inc. hereinafter referred to as "Clalmanf: Mitchell J. Albert, Esq., Albert & Will, LLP, Torrance, Califbmia. Respondent Edward McNally hereinafter

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Harold I. Weisberg, Co-Tmstee of the Harold I. Weisberg Tmst u/t/a dated 8/14/96 and Harold I. Weisberg, Co-Tmstee of the Marion S. Weisberg Trust u/t/a dated 8/14/96 vs. Names of Respondents Fidelity Brokerage Services LLC, Gary Michael Pryka. Amy Elizabeth Renk, and Anthony Justin Muccio Case Number: 08-00700 Hearing Site: Southfield, Mi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08656 Amelia May Evans Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Amelia May Evans, hereinafter referred to as "Claimant": William B. Young, J

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-03163 Robert Bonds and Gitda Bonds Respondents Hearing Site: Houston. Texas H&R Blocl( Financial Advisors Inc. and Robert Bullock Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Robert Bonds and Gilda Bonds, hereinafter collectively referred to as "Claimants": Dan K. Worthington, Esq.. Atla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Doran (Claimant) vs. Richard Hagopian and Ameriprise Financial Services, Inc. (Respondents) Case Number: 08-00941 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Peter Doran hereinafter referred to as "Claimant" appeared pro se. Respondents Richard Hagopian ("Hagopian") and Ameriprise

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: James Michael DeRosa (Claimant) vs. TIAA-CREF individual and Institutional Services, LLC (Respondent) Case Number: 08-00921 Hearino Site: New Yoric, New Yorl< Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant James Michael DeRosa hereinafter referred to as "Claimant": Edward F. Broderick, Jr., Esq., Broderick, Newman & Grather. Monistown,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George Grafas (Claimant) vs. Whttaker Securities (Respondent) Case Nunnber: 08-01098 Hearing Site: New York. New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant George Grafas hereinafter referred to as "Claimant": Charies von Simson, Esq., von Simson & Chin LLP, New York, NY. Respondent Whitaker Securities hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 07-02520 T. Bradley Sprague & Jeannette Sprague Respondents Hearing Site: Austin, Texas Laidlaw & Company (UK) Ltd. and Steven R. Hill Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants T. Bradley Sprague & Jeannette Sprague hereinafter collectively refened to as "Claimants": Douglass D. Heame, Jr., Es

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Morgan P. Ostrow John B. Ostrow Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-05069 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Morgan P. Ostrow and John B. Ostrow, hereinafte

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01561 Camille Parrella ("Claimant") vs. Ryan Beck & Co.. Inc.. John Creighton Gallagher, Stifel Nicolaus & Co., Inc. and Stifel Financial Corp. ("Respondents") ATTORNEYS: For Claimant appeared Karen J. Van Ingen, Esq., BLS Legal Services Corp., Brool^lyn, NY. For Respondents appeared Joseph C. Rosa, Esq., In-house Counsel, Stifel, Nicolaus & Co.. Inc., Florham Parl^. NJ. NATURE OF