Award FINRA Dispute Resolution In the IVIatter of the Arbitration Between: William Capogrosso (Claimant) vs. E*Trade Securities, LLC (Respondent) Case Number: 07-02475 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant William Capogrosso hereinafter referred to as "Claimant": Mario H. Capogrosso, Esq., New Rochelle, NY. Claimant previously appeared pro se. Respondent E*Trade Securities, LL

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02381 Raymond J. Filorimo Names of the Respondents Hearino Site: Boca Raton, Florida Intervest Intemationat Equities Corporation David Smith Robert Copus Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Raymond J. Filorimo, hereinafter referred to as "Claimant": Delmer C. Gowing

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02590 Banc of America investment Services, Inc. Name of the Respondent Hearing Site: Miami, Florida Scott Huffman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, inc.. hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinoi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Beatrice B. Kershenbiatt (Ciaimant) vs. A.G. Edwards & Sons, inc., and David J. Karp (Respondents) Case Number: 07-03269 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ciaimant Beatrice B. Kershenbiatt hereinafter referred to as "Claimant" appeared pro se. Respondents A.G. Edwards & Sons,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sophie Rothstein (Claimant) vs. Richard Fitzburgh. Joel B. Chase, and UBS Financial Services. Inc. (Respondents) Case Number: 07-02676 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons and l\Jember. REPRESENTATION OF PARTIES Claimant Sophie Rothstein hereinafter referred to as "Ciaimant": Edward Rothstein, New York. NY. Respondents Rich

Award FINRA Dispute Resolution in the IVIatter of the Arbitration Between: Charies Schwab & Co.. Inc. (Ciaimant) vs. Scott Karpiai< and RBC Dain Rauscher inc. (Respondents) Case Number: 06-04100 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Charies Schwab & Company, inc.. ('Charies Schwab") hereinafter referred to as "Ciaimant": Michael R. Greco. Esq., and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc.. f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Richard D. Smithson (Respondent) Case Number: 07-02449 Hearing 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'C

Award FINRA Dispute RMolution In the Matter of the Arbitration Bi^twean: Name of Ciaimant Jordan Alan, Administrator of the Estate of Beth Suaan Schfmmei a/l^a Beth Lobel Case Number: 06-02056 Name of Respondents Hearing Site: Los Angeles, California Interflrst Capital Corporation f/k/a Baraban Securities, First Allied Securities, Inc.. UBS PaineWebber, Inc. f/lc/a PaineWebber, Inc.. Correspondent Services Corporiitlon, Bradf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02485 Raymond D. Curtin Name of the Respondent Hearing Site: Ft. Lauderdale, Florida Wachovia Securities, LLC Nature of the Dispute: Associated Person vs. I\^ember. REPRESENTATION OF PARTIES For Raymond D. Curtin, hereinafter referred to as "Claimant": Robert C. Stoi^es, ill, Esq., Robert C. Stokes, P.A., Tampa, Florida. For Wachovia

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ryan Beci< & Co., Inc. (Claimant) vs. Arthur Ogbogu (Respondent) Case Number: 07-01135 IHearing Site: New Yori^. New Yori^ Nature oT tne Dispute: iviemoer vs. Associaieo r^erson. REPRESENTATION OF PARTIES Claimant Ryan Becl( & Co., Inc., hereinafter referred to as "Claimant": Jeffrey C. Primiano, Esq., Stiefel Nicolaus, Florham Parte, NJ. Previously represented by Jeffrey C. Pr