stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01364 Garland 0. Williamson Antoinette P. Williamson Names of the Respondents William G. Stanley Hearina Site: Baltimore, Maryland The Stanley-Laman Group, Ltd. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Garland O. Williamson and Antoinette P. Williamson, hereinafter c

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03419 Jack R. Bush ("Claimant") vs. H&R Block Financial Advisors, Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, La Porte, TX. For Respondent appeared in-house counsel, Howard M. Klausmeier, H&R Financial Advisors, Inc., Detroit, Ml. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 29, 2007 CASE SUMMARY: Claimant alleged a loss as a result of Respondent's recomm

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Geoffrey IVIinte (Claimant) vs. S.W. Bach & Company and Renos Gordos (Respondents) Case Number: 06-03323 Hearina Site: Augusta, Maine Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Geoffrey Minte hereinafter referred to as "Claimant": Michael Huberman, Esq., Huberman & Associates, Boca Raton. FL. Respondents S.W. Bach &

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Richard F. Bennett vs. Case Number: 04-04999 Hearing Site: Dallas, Texas Names of Respondents Bear Stearns Securities Corporation and Matthew Joseph Pickett NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Richard F. Bennett ("Claimant") was represented by John J. Hopkins, Esq., John J.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Harold J. Burdette vs. Case Number: 07-01782 Hearing Site: Oklahoma City, Oklahoma Names of Respondents INVEST Financial Corporation, BancWest Investment Services, Inc., Putnam Retail Management Limited Partnership, Allmerica Financial Life Insurance and Annuity Company, and Allstate Life Insurance Company NATURE OF THE DISPUTE Customer vs.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William Dinges, Jr. and Agnes Dinges (Claimants) vs. McLaughlin, Piven, Vogel Securities Inc., and Lawrence Thomas Tulenko (Respondents) Case Number: 06-04152 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants William Dinges, Jr. ("W. Dinges") and Agnes Dinges ("A. Dinges"), hereinafter collect

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02874 Bill S. Tsevdos ("Claimant") vs. TD Waterhouse d/b/a TD Ameritrade, Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Brooklyn, NY. For Respondent appeared Janis Campanella, Esq., in-house counsel, TD Ameritrade, Inc., Boca Raton, FL. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: October 5, 2007 CASE SUMMARY: Claimant is seeking expungement of language

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Rajnikant Shah and Akhil R. Shah Name of the Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated Case Number. 06-01817 Hearing Site: Seattle, Washington Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Rajnikant Shah and Akhil R. Shah, hereinafter collectively referred to as "Claimants": Michael M.

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant N. Richard Honer vs. Names of Respondents Robert W. Baird & Co. Incorporated, Victor L. Whang, and David Ray Hester Case Number: 05-03691 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES N. Richard Honer ("Claimant") was represented by Walter L. Baumgardn

AWARD FINRA Dispute Resolution In the l\^atter of the Arbitration Between: Names of Claimants Julie Maleitzke, individually and as the Personal Representative of the Estate of Gary L. IVIaleitzke, Deceased vs. Names of Respondents Warren Fritz, Brent Kerstetter, Sanford Financial Services, Inc., and Raymond James Financial Services, Inc. and Names of Third-Party Claimants Brent Kerstetter and Raymond James Financial Services,