Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Banc of America Investment Services, Inc. Respondent Andy J. James Case Number: 06-05408 Hearing Site: Phoenix, Arizona Counter-Claimant Andy J. James Counter-Respondent Banc of America Investment Services, Inc. Nature of the Dispute: Member vs. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES Claimant/Counter-Responde

AWARD FiNRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants: Case Number. 07-00074 Daryi Scheaffer. Linda Scheaffer, John Prymalc, Lillian Prymak, Preston Smith, Sheila Smith, Paul Prymak, Darrel W. Longley, Vera J. Longley, Robert Daley, Brenda Daley, Jane Specketer, John S. Hartman, Anthony J. Pisani, Patricia A. Pisani, Sammy J. Martinez, Trustee of the Revocable Living Trust of Sammy J. Martinez, Leslie E. Davis,

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03285 Susan Lorraine Sullivan, ("Claimant") vs. WMA Securities Inc., Lowell Forest McCain and Elena Kane, ("Respondents") ATTORNEYS: For Claimant appeared Jonathan Schaan of Northwestern University School of Law, Chicago, IL. For Respondents Lowell Forest McCain and Elena Kane appeared Cameron W. Thomas, Esq., Musick, Peeler & Garrett, LLP, Los Angeles, CA. For Respondent WMA Secur

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants: First Command Financial Planning, Inc. First Command Financial Services, Inc. Respondents: John Washnock James Washnock Counter-Claimants: John Washnock James Washnock Counter-Respondents: First Command Financial Planning, Inc. First Command Financial Services, Inc. Case Number: 07-01275 Hearing Site: Dallas, Texas Nature of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Dinges, Jr., and Susan Dinges (Claimants) vs. McLaughlin, Piven, Vogel Securities Inc., and Lawrence Thomas Tulenko (Respondents) Case Number: 06-04153 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants David Dinges, Jr. ("D. Dinges") and Susan Dinges ("S. Dinges"), hereinafter collective

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Melle (Claimant) vs. MBSC Securities Corporation d/b/a Dreyfus Service Corporation (Respondent) Case Number: 07-03632 Hearing Site: New York, New York Nature ot the Dispute: Associatea Kerson vs. Memoer. REPRESENTATION OF PARTIES Claimant Robert Melle hereinafter referred to as "Claimant": Martin P. Unger, Esq., Certilman Balin Adier & Hyman, LLP, East Meadow, NY. Re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants: Case Number: 07-01778 Citigroup Global Markets Holdings, Inc. Citigroup Global Markets, Inc. d/b/a Smith Barney Respondent: Hearing Site: Houston, Texas Ernest P. Elam Nature of the Dispute: Non-Member and Member v. Associated Person REPRESENTATION OF PARTIES Claimants, Citigroup Global Markets Holdings, Inc. ("Holdings") and Citigroup Global Markets, Inc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 06-04535 Randy R. Bick, Individually and as Trustee of the Bick Family Trust Name of the Respondent Hearing Site: Los Angeles, California Citigroup Global Markets Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Randy R. Bick, Individually and as Trustee of the Bick Family Trust, hereinafter collect

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 05-03614 Capital Investment Group, Inc. Name of the Respondent Hearing Site: Raleigh. North Carolina Mari( D. Kyle Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Capital Investment Group, Inc., hereinafter refenred to as "Claimant": J. Anthony Penry, Esq., Taylor, Penry, Rash, Riemann, PLLC, Raleigh, Nor

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02940 Don Chaifez ("Claimant") vs. E*Trade Securities, LLC ("Respondent") ATTORNEYS: ~~~ Claimant appeared Pro se, Floral Park, NY. For Respondent appeared in-house counsel. John Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Customer v. Member ~ DATE FILED: October 13. 2007 CASE SUMMARY: Claimant alleged that his order was executed incorrectly which resulted in a loss. Claimant's