Award FINRA Dispute Resolution In the Matter of the Arbitration Between: SunAmerica Securities, Inc. (Claimant) vs. Peter Michael Sloan, or. (Respondent) Case Number: 05-04546 Hearing Site- i^ewark. New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant SunAmerica Securities Inc., hereinafter referred to as "Claimant": Barry R. Temkin, Esq., The Law Offices of Edward Garfinkel, New York, NY. Respondent Pet

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Bernice M. Bonebrake TTEE and Bernice (Berniece) M. Bonebrake Rev. Trust vs. Names of Respondents Capital Growth Financial, LLC, KFS-BD, Inc., Wachovia Securities, LLC, Brian J. Schuster, and Rebecca L. Engle Case Number: 06-03014 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Customers vs. Terminated Member, Members, and Associated P

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01691 Raymond James & Associates, Inc., ("Claimant") vs. Dominic Lombardo, ("Respondent") ATTORNEYS: For Claimant appeared in-house counsel Kelli Bullington, Esq., St. Petersburg, FL. Respondent appeared pro se, Fort Wayne, IN. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 31, 2007 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02583 Christopher and Yvonne Spain ("Claimants") vs. E*Trade Securities LLC ("Respondent") ATTORNEYS: Christopher and Yvonne Spain appeared pro se, McKinney, TX. For E*Trade Securities LLC appeared in-house counsel, John Bersin, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 6, 2007 CASE SUMMARY: Claimants alleged that Respondent took 200 shares of Lucent an

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Thomas E. Collins, Jr., and Heather Collins (Claimants) vs. Lawrence Joseph Ferrari (Respondent) Case Number: 08-00898 SITUS: Buffalo, New York NATURE OF DISPUTE: Customer v. Associated Person. REPRESENTATION OF PARTIES Thomas E. Collins, Jr., ("T. Collins") and Heather Collins ("H. Collins"), hereinafter collectively referred to as "Claimants": Walter J. Wiggins, Wiggins a

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 07-01369 Morgan Stanley & Co. Incorporated {VMa Morgan Stanley DW Inc.) Name of the Respondent: Hearing Site: Houston, Texas James M. Hamricic Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley & Co. Incorporated (f/k/a Morgan Stanley DW Inc.), hereinafter referred to as "Claimant": Di

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 07-00911 C. Eric Buonassisi Name of Respondents Hearing Site: San Francisco UBS Financial Services, Inc. Mitchell Scott Condit Ackerman Loren Shay Neumann Kathryn Nanette Stone Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant 0. Eric Buonassisi hereinafter referred to as "Clai

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants J. Homer Daniels and Cynthia A. Daniels vs. Case Number: 05-05915 Hearing Site: Dallas, Texas Names of Respondents RBC Dain Rauscher, Inc., Moloney Securities Company, Inc., Birchtree Financial Services, Inc., Roan-Meyer Associates, LP, FAS Wealth Management Services, Inc., and Charies Dwain Davis, Jr. NATURE OF THE DISPUTE Customers v

Amended Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05081 David A. Ossenmacher Name of the Respondent Hearina Site: Tampa, Florida A.G. Edwards & Sons, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For David A. Ossenmacher, hereinafter refen'ed to as "Claimant": John R. Kiefner, Jr., Esq., Kiefner Law Offices, P.A., St. Petersburg,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00587 Citigroup Global Markets, Inc. Name of the Respondent Hearing Site: Nashville, Tennessee Jon S. Ladd Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": W. Jerad Rissler, Esq., Kutak Rock LLP, Atianta, Georgia. For Jon S. Ladd,