Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Mount Yale Securities, LLC Yale Portfolio Advisors, LLC Case Number: 07-02336 Name of the Respondent: Glenda A. Pemble Hearing Site: Denver, Colorado Counter-Claimant Glenda A. Pemble Counter-Respondent Mount Yale Securities, LLC Yale Portfolio Advisors, LLC Nature of Dispute: Member and Non-Member vs. Associated Person Associat

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. (Claimant) vs. David A. Ricca (Respondent) Case Number: 07-02837 SITUS: New York, New York NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. ("Claimant"): Erin A. Rowin, Esq., Lubiner & Schmidt, LLC, Cranford, NJ. Resp

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03539 Bruce M. McCoy and Patti A. McCoy ("Claimants") vs. Ryan E. Burch ("Respondent") ATTORNEYS: Claimants appeared Pro se, Diamond Springs, CA. Respondent appeared Pro se, Auburn, CA. NATURE OF DISPUTE: Customers v. Associated Person DATE FILED: December 15, 2007 CASE SUMMARY: Claimants alleged that Respondent knowingly and deliberately presented a deceptive and misleading explan

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02808 Clarence Smith ("Claimant") vs. Edward D. Jones & Co., LP and Anthony L. Williams ("Respondents") ATTORNEYS: Claimant appeared Pro se, Houston, TX. For Respondents appeared Christopher Pickett, Esq., in-house counsel, Edward D. Jones & Co., LP, Des Peres, MO. Edward D. Jones & Co., LP and Anthony L. Williams are hereinafter collectively referred to as "Respondents". NATUR

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Judith Moceri and Joseph Moceri, individually and as Trustee of the Joseph Moceri & Company 401 (k) and Profit Sharing Plan and Trust, and as Trustee of the Joseph P. Moceri Trust vs. Names of Respondents Linsco Private Ledger Corp., Brandt, Kelly & Simmons, L.L.C., Kenneth Brandt, and TD Waterhouse Investor Services, Inc. C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01872 Morgan Stanley & Co., Inc. (fonneriy Dean Witter Reynolds Inc.) Name of the Respondent Hearing Site: Norfolk, Virginia Gary R. Compton Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley & Co., Inc. (formerly Dean Witter Reynolds Inc.), hereinafter referred to as "Claimant": Diane C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Hatch Investment Agency, Inc. vs. Name of Respondent Kiriin Securities, Inc. Case Number: 06-02116 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customer vs. Terminated Member REPRESENTATION OF PARTIES Hatch Investment Agency, Inc. ("Claimant") was represented by C. Mark Stratton, Esq., Laws Offices of Shannon, Gracey, Ratliff &

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert J. Baker and Shiriey J. Baker, Individually and as Trustees of the Robert and Shiriey Baker Revocable Trust vs. Names of Respondents Financial Planning Consultants, Inc. and R. Michael Rose Case Number: 07-01657 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF P

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03183 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC ("Claimant") v. David George ("Respondent") ATTORNEYS: For Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. Respondent David George did not submit an Answer to the State

Award FINi^ Dispute Resolution In the Matter of the Arbitration Between: Penson Financial Services, Inc. (Claimant) vs. Arbco Capital Management, LLP (Respondent) Case Number: 08-00083 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Penson Financial Services, Inc., hereinafter referred to as "Claimant": Edward W. Larkin, Esq., Baritz & Colman, LLP, New York, NY. Respondent Arbco Cap