Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Amy Levenson (Claimant) vs. Barclays Capital, Inc.. Barclays Bani^ PLC, and Barclays PLC (Respondents) Case Number: 07-02165 Hearing Site: New Yori^, New York Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Amy Levenson hereinafter referred to as "Ciaimant": Anne C. Vladeck. Esq., Vladeck, Waldman. Bias & Engelhard. P.C. N

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Lisa Cavaiiere (Claimant) vs. i^organ Stanley Dean Witter, Inc. (Respondent) Case Number: 07-03047 Hearing Site: New York, New York Nature of the Dispute: Customer vs. IVIember. REPRESENTATION OF PARTIES Ciaimant Lisa Cavaiiere hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway, New Yorl^, NY. Respondent Morgan Stanley Dean Witter, Inc., hereinafter r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03094 Samuel Cole dba csafinancials.com Name of the Respondent Hearing Site: Nashville, Tennessee interactive Brokers, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Samuel Cole dba csafinancials.com, hereinafter referred to as "Claimant": appeared pro se. For Interactive Brokers, LLC, hereinafter referred

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 07-03612 Adol Theo Owen-Williams, Jr. Name of the Respondent Hearino Site: Washington, DC BB&T Investment Services. Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Adol Theo Owen-Williams. Jr. ("Owen-Williams"), hereinafter referred to as "Claimant": James F. Shalleck, Esq., Montgomery Village, Maryla

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02877 Royal Alliance Associates, Inc. Name of the Respondent Hearing Site: Richmond, VA Scott Ryan Tischler Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Royal Alliance Associates, inc. ("RAA"), hereinafter referred to as "Claimant": Martin Q. Ryan. Esq., Baugh, Carison & Ryan LLC, Chicago, IL. Fo

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Ciaimant Citigroup Giobal Markets, inc. vs. Case Number: 07-02565 Hearing Site: Chicago, Illinois Name of Respondent Thomas B. Kret MATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Globai Markets, Inc. ("Claimant" or "Citigroup") was represented by Ronald Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Thoma

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Don IHutcherson vs. Case Number: 05-06675 Hearing Site: Dallas, Texas Names of Respondents Sands Brothers & Co., Ltd., Laidlaw & Company (UK) Ltd., Craig Aaron Bonn, Martin Scott Sands, and Steven Brett Sands NATURE OF THE DISPUTE Customer vs. Terminated Member, Member, and Associated Persons REPRESENTATION OF PARTIES Don Hutc

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Charles Schwab & Co. Inc. vs. Case Number: 08-01162 Hearing Site: Cincinnati, Ohio Name of Respondent Thomas S. JHodges NATURE OF THE DISPUTE Member vs. Customer REPRESENTATION OF PARTIES Charles Schwab & Co, Inc. ("Claimant") was represented by Richard A. Karoly, Esq.. Charles Schwab &• Co., Inc., San Francisco, Califomia. Thomas

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Lou Sammelman vs. Case Number: 07-02976 Hearing Site: St. Louis, Missouri Name of Respondent Stifel, Nicholas & Co., Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Mary Lou Sammelman ("Claimant") was represented by Steven Koslovsky, Esq., Steven Koslovsky. LLC. Maryland Heights, Maryland. Stifel. Nicholas & Co.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Scott Champion (Claimant) vs. Securities America, Inc. (Respondent) Case Number: 07-03268 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Scott Champion hereinafter referred to as "Claimant": Steven T. Stern, Esq., Philadelphia, PA. Respondent Securities, Inc., hereinafter referred to as "Responden