Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Names of the Claimants Case Number: 07-00998 Ed L. Gueth Sr. and Sandy L. Guetli Names of the Respondents Hearing Site: Orlando. FL Ameriprise Financial Services, Inc. Joan L. Coke Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ed L. Gueth Sr. and Sandy L. Gueth, hereinafter collectively referred to as "Claimants", appeared

Award FINRA Dispute Resoiution In the Matter of the Artsitration Between: Names of the Claimants Case Number: 07-03133 Eugene Vincent Soden, III Deborah Marie Soden Rowe, Individually, and as Administrator of the Estate of Eugene Vincent Soden, Jr. Names of the Respondents Hearino Site: Atlanta, Georgia Scottrade, Inc. Irene Patricia Soden Name of the Third Party Respondent Irene Patricia Soden Nature of the Dispute: Non-Member vs. Membe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01504 RBC Dain Rauscher Inc. Name of the Respondeot Hearing Site: Memphis, Tennessee Joe R. Jennings Name of the Third Party Respondent RBC Capital Markets Corporation Nature of the Dispute: Member vs. Associated Person vs. Member. REPRESENTATION OF PARTIES For RBC Dain Rauscher Inc., hereinafter referred to as "Claimant": Donald S.

AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of Claimants Jeffrey Nielsen, Hidden Glade Properties, LLC, Evans Creek, LLC, and Guaranty Escrow of MN, Inc. vs. Case Number: 07-03069 Hearing Site: Minneapolis, Minnesota Names of Respondents Charles Schwab & Co., Inc. and Darin J. Beckering NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Jeffrey Nielsen, Hidden

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Amy S. Gibbons (Claimant) v. A.G. Edwards & Sons, Inc. (Respondent) Case Number: 07-02523 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATiON OF PARTIES Claimant Amy S. Gibbons hereinafter referred to as "Claimant": Jonathan Sack, Esq., Sack & Sack, New York, NY. Respondent A.G. Edwards & Sons, Inc., hereinafter referred to as "R

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Antonio Benedi (Claimant) v. Milestone Group Management. LLC, Paul J. Casella, Vincent Michael Mitchell. Jorge Naval, Pablo Guerrero, and Rohan Bedi (Respondents) Case Number: 05-00756 Hearing Site: New York. New York Nature or the Dispute: uustomer vs. iviemoer ana Associaieo rersons. REPRESENTATiON OF PARTIES Claimant Antonio Benedi hereinafter referred to as "Claimant" appeared

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Barbara Lerner (Claimant) vs. Citigroup Global Markets. Inc. f/k/a Smith Barney and Salomon Smith Barney (Respondent) Case Number: 06-04200 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Barbara Lerner hereinafter referred to as "Claimant": Lisa Catalano, Esq., St. John's University School of Law, Securities Arbit

FINRA DISPUTE RESOLUTION AWARD r INRA DISPUTE RESOLUTION CASE: 08-00134 Sliampan Lamport, LLC d/b/a National Securities Corp., ("Claimant") vs. Stephen Renaud, ("Respondent") ATTORNEYS: For Claimant appeared Michael S. Colombo, CEO of StreetWide Asset Recovery Group. Inc., Lyndhurst, NJ. Respondent appeared pro se, Darien, CT. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 11. 2008 CASE SUMMARY: Claimant alleged that Resp

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: EKN Financial Services, Inc. (Claimant) vs. Andrew Grant (Respondent) Case Number: 07-02018 Hearing Site: New York, New York nadf^Ttne uisputenClefnBer vs. Associaiec rerson. REPRESENTATION OF PARTIES Claimant EKN Financial Services, Inc. hereinafter referred to as "Claimant": Robert M. Bursky, Esq., Woodbury, NY. Respondent Andrew Grant hereinafter referred to as "Respondent"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cheryl Symmes (Claimant) vs. Goldman. Sachs & Co. and Todd Edward Silaika (Respondents) Case Number: 06-05247 Hearino Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Cheryl Symmes hereinafter referred to as "Claimant": Mark Thomas Sophocles. Esq., Paoli, PA. Respondents Goldman, Sachs & Co. ("Gold