FINRA DISPUTE RESOLUTION AWARD FINiV^ DISPUTE RESOLUTION CASE: 08-01247 William C. OhI, II and Kimberly A. OhI ("Claimants") vs. Merrill Lynch, Pierce. Fenner & Smith, Inc. and Ray D. Kinnarxl ("Respondents") ATTORNEYS: For Claimants appeared William C. OhI, II, Tucson, AZ. For Respondents appeared Edwin A. Zipf. Esq., Bressler, Amery & Ross, P. C. Florham Pari^, NJ. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 2

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00979 Mary Gabriel Schweitzer. ("Claimanf) vs. Citigroup Global Markets. Inc. and George Lyman Redheffer. ("Respondents") ATTORNEYS: Claimant appeared pro se. Honolulu. HI. For Respondent Citigroup Global Markets. Inc. appeared in-house counsel Douglas B. Appel. Esq.. New York. NY. Respondent George Lyman Redheffer appeared pm se, Tempe. AZ. NATURE OF DISPUTE: Customer v. Member an

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01197 Norman E. Hanns ("Claimant") vs. Scottrade, Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Tacoma, WA. For Respondent appeared In-house Counsel, Andrew Small. Esq., St. Louis. MO. NATURE OF DISPUTE: Customer v. IVIember DATE FILED: April 21. 2008 CASE SUMMARY: Claimant alleged unjust enrichment. Claimant maintained that as a result of Respondent's actions he suffere

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Banc of America Investment Services, Inc. (Claimant) vs. Mark E. Adam (Respondent) Case Number: 07-02262 Hearing Site: Buffalo, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Gregory B. Simon. Esq., Kane & Fisher, Ltd., Chicago. IL. Respondent Mark

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01784 Mark Blau, ("Claimant") vs. TD Ameritrade, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Bloomfield, CT. For Respondent appeared in-house counsel James Vihstadt, Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 29.2008 CASE SUMMARY: Claimant alleged that Respondent provided misleading information and failed to timely execute trades. Claimant furth

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01952 Dr. Sava Lukac. {"Claimant") vs. Citigroup Global Marl< ets, Inc. and Marion Frederick Travis. ("Respondents") ATTORNEYS: Claimant appeared pro se. Southampton. PA. For Respondents appeared in-house counsel Douglas B. Appel, Esq.. New York. NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 16. 2008 CASE SUMMARY: Claimant alleged that Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Craig B. Jampol (Claimant) vs. W.R. Hambrecht. LLC (Respondent) Case Number: 08-00904 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Craig B. Jampol hereinafter referred to as "Claimant": Sean R. Kelly, Esq., Kraus & Zuchiewski LLP, New York, NY. Respondent W.R. Hambrecht, LLC. Inc. hereinafter referred t

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-03606 Reynolds Ospina Respondent Hearing Site: San Francisco, California Instinet. LLC Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Reynolds Ospina hereinafter refemed to as "Claimant": Thomas E. Duckworth, Esq., Duckworth, Peters & Lebowitz, LLP, San Francisco, Califbmia. Respondent. Instinet. LLC, here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants IHarttord Fire Insurance Co., Inc. Individually and on behalf of Patricia Dutton as conservator of the Estate of Tranquilino Ryan Ventura Names of the Respondents Edward Jones, Inc. Robert Decker Morgan Stanley Dean Witter, Inc. Hunter Bowen Case Number: 07-01803 (Consolidated with 07-01845) Hearing Site: Birmingham, Alabama In

Award FINRA Dispute Resolution In the Matter of the Art}itratlon Between: Claimant Case Number: 07-03106 Anthony 5. Lowenstein Respondents Hearing Site: San Francisco, Califomla The Shemano Group, Inc. William A. Silva Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Anthony S. Lowenstein, hereinafter refened to as "Claimant": Albert L. Boasberg, Esq., Attorney at Law, San Francisco, Califo