FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03200 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC ("Claimant") v. Kevin Browne ("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 Kevin Browne appeared pro se, Howard Beach, NY

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03095 Bruno Cimaglia ("Claimant") vs. E*Trade Securities, LLC ("Respondent") ATTORNEYS: Claimant Bruno Cimaglia appeared pro se, Jackson Heights, NY. For Respondent E*Trade Securities, LLC appeared in-house counsel, John Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 2, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to execute hi

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02930 William Kling, ("Claimant") vs. TD Ameritrade, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Huntsville, AL. For Respondent appeared in-house counsel Kelly R. Davis, Esq., Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 15, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to execute a BUY TO COVER order. Claimant maintained that due

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04674 Concetta DiMare Names of the Respondents Hearing Site: Boca Raton, Florida Conseco Equity Sales, Inc. Inviva Securities Corporation Rafael Golan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Concetta DiMare, hereinafter referred to as "Claimant": Lonnie K. Martens, Esq., The Mar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-03145 Highlands Investment Trading, Ltd. Roberto J. Erusalimsky Names of the Respondents Hearino Site: Boca Raton, Florida HSBC Securities (U.S.A.) Inc. HSBC Brokerage (U.S.A.) Inc. HSBC Bank U.S.A., N.A., a/k/a HSBC Private Bank, f/k/a HSBC Republic Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATiON OF P

Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher Inc. (Claimant) vs. Frank Foerster (Respondent) Case Number: 06-05040 Hearing Site: New York, New Yorl< Nature of the Dispute: IVIember vs. Associated Person. REPRESENTATION OF PARTIES Claimant RBC Dain Rauscher Inc., hereinafter referred to as "Claimant": Patrick J. Howley, Esq., RBC Dain Rauscher, Florham Park, NJ. Respondent Frank Foerster hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number: 07-01762 Richard E. Bantz, and Ana L. Bejar-Bantz, as trustees of and for the Bantz Revocable Living Trust Name of the Respondents Hearing Site: Phoenix, Arizona First Financial Equity Corporation David Rhee Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Richard E. Bantz ("Ba

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 07-00689 Bert A. Smith On Behalf of the Bert A. Smith IRA and as Trustee of the Bert A. Smith 1988 Trust DTD 9/29/1988 and Marjorie A. Smith Name of the Respondents Hearing Site: Reno, Nevada Associated Securities Corp. Patricia F. Meidell Laif E. Meidell Nature of the Dispute: Customers v. Member and Associated Persons

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01355 Adele Nathanson J & A Nathanson Family Trust Names of the Respondents Hearina Site: Baltimore, IVlaryland Wachovia Securities, LLC Chris Haera Don Klein Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Adele Nathanson ("Nathanson") and J & A Nathanson Family Trust ("Family Tr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04165 Johnnie Lloyd Name of the Respondent Hearing Site: Tampa, Florida Raymond James Financial Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Johnnie Lloyd, hereinafter referred to as "Claimant": Tarya A. Tribble, Esq., Tarya A. Tribble, P.A., Riverview, Florida. For Raymond James F