Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name pf the Claimants Case Number 07-01180 Dennis Beck and Shiriey Beck; Sheila A. Bennen, Individually and as Trustee of the Sheila A. Bennen Revocable Trust U/A DTD May 10, 1982; Robert and Jan Camps; Ron Debiack; Gerald Duncan and Kimberly Duncan, Individually and as JTWROS; Eleanor Evans and Mark Evans, Individually and as JTWROS; Roque Gonzalez; Patrick J. Grave

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: CIBC Worid Markets Corporation (Claimant) vs. Michael Sassano (Respondent) Case Number: 05-02827 Hearing Site: New Yorit, New Yorlt Nature of the Dispute: Member vs. Associated Pereon. REPRESENTATION OF PARTIES Claimant CIBC Worid Martlets Corporation hereinafter referred to as "Claimant": Matthew L. Mustokoff. Esq., Weil. Gotshal & Manges LLP, New York, NY. Previously represe

Award FINRA Disputo Resolution In the Matter of the Arisitration Between: Name of the Claimant Helen Alport Names of the Respondents Menill Lynch Pierce Fenner & Smith, Inc. Max G. Manack Byron Meads John Wyllys Doria Sabia-Florence Jeffrey S. Ransdell Case_Number 07-01049 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For Helen Alport, herein

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01429 Daniel W.Camevale Names of the Respondents Hearing Site: Oriando, FL Dr. Robert P. Laurence & Patricia A. Laurence Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Daniel W. Camevale. hereinafter refen-ed to as "Claimant": Peter J. Aldrich, Peter J. Aldrich, P.A., Palm Beach Gardens, F

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Aura Financial Sen^ices, Inc. Names of the Respondents NSM Securities, Inc. Niyukt Bhasin Nitin Bahinvani Rohit Khemka Shondeep "Sonny" Balchandani Kamlesh Lalwani Harsh Jayaswal l\^arvin Irving Burstein Ivan Dario Angulo Brandon R. Sciotti Names of the Third-Party Respondents Timothy Gautney Eric Blum Sidh

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00268 Raymond James Financial Services, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Joseph D. Duerr Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James Financial Services, Inc. ("RJFS"), hereinafter referred to as "Claimant": Erin K. Linehan, Esq., Raymond James Financial Ser

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 06-02811 Thomas O'Shea Respondent Hearing Site: San Francisco, Califomia Merriman Curhan Ford & Co. Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant, Thomas O'Shea, hereinafter referred to as "Claimant": David B. Wechsler. Esq., Wechsler & Cohen, LLP, New Yoric, New Yori( Respondent, Mem'man Curtian Ford & Co. ("

Award FINRA DIapute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 08-00841 Emily Martin Revocable Living Trust Name of the Restx)ndent: Hearing Site: San Francisco, CA Citigroup Global Mari(ets Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Emily Martin Revocable Living Tmst, hereinafter refened to as "Claimant": Brett Alcala, Esq., Alcala Law Firm, San Mateo, Califbmi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-03342 Damon L Jones Eric A. Eremia Respondents Hearino Site: Phoenix, Arizona Charies Schwab & Co., Inc. David Evan Morgan Nature of the Dispute: Associated Persons v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Damon L. Jones and Eric A. Eremia, hereinafter collectively referred to as "Claimants": Damon L. Jones, New

Award FINRA Disputo Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 07-01659 Citigroup Global Maricets Inc. Name of the Respondent: Hearino Site: Honolulu, Hawaii Lee Weissman Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant Citigroup Global Marlcete Inc. hereinafter referred to as "Ciaimanf: Catania T. Facher, Esq., Alonso, Andall^r & Kahn, P.O., New Yoric, New Yori( Respon