Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James R. Valentine Case Number: 07-02274 Claimant Karen A. Brandenburg; Hearing Site: Los Angeles, California Peter J. Carr; Jeffrey F. Jones; James L. Lundy; and Sharon and Matthew Boutte and The Kenneth Lynn Boutte Family Trust Respondents Nature of the Dispute: Associated Person vs. Customers REPRESENTATION OF PARTIES For James R. Valentine, hereinafter refer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 06-04074 Charles B. Lee Denise P. Lee Name of the Respondents Hearing Site: Dallas, Texas Raymond James Financial Services, Inc. Moseley and Associates, LLP John M. Moseley Nature of the Dispute: Customer v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Claimants, Charles B. Lee and Denise P. Lee, hereinafter c

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04852 Capitola Sommer Name of the Respondent Hearina Site: Los Angeles, California Edward D. Jones & Co., L.P. Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Capitola Sommer: Richard J. Papst, Esq., Law Offices of Richard J. Papst, Bakersfield, California Respondent Edward D. Jones & Co., L.P.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Howdy S. Kabrins, Claimant v. Richard Goldstein and Smith Barney, Inc., now known as Citigroup Global Markets, Inc., Respondents Case Number: 97-00418 Hearina Site: Los Angeles, CA Nature of the Dispute: Customer vs. Associated Person and Member Firm REPRESENTATION OF PARTIES For Claimant: For Respondents Richard Goldstein and Smith Barney, Inc., now known as Ci

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01862 UBS Financial Services Inc. Name of the Respondent Hearina Site: Dallas, Texas Joel D. Griffin Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Services Inc. ("UBS"), hereinafter referred to as "Claimant": Frank J. Vitolo, Esq., Riker Danzig Scherer Hyland Perretti LLP, Morristown

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02054 Amy S. Feng Name of the Respondent Hearing Site: San Francisco, California JMP Securities LLC Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant, Amy S. Feng, hereinafter referred to as "Claimant": Thomas E. Duckworth, Esq., Duckworth, Peters & Lebowitz, LLP, San Francisco, California Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02304 RBC Dain Rauscher, Inc. Name of the Respondent Hearing Site: Los Angeles, California Gregory Iglow Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, RBC Dain Rauscher, Inc., hereinafter referred to as "Claimant": David H.S. Commins, Esq., Commins & Webster, P.C, San Francisco, California Res

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 06-04950 Kyoko Kusaba, Raye Shibasaki, Eugh Shibasaki, Jr., and Junko Shibasaki, individually and as Trustee of the Shibasaki Family Trust dated 4/12/91 Name of the Respondents Hearing Site: Los Angeles, California LPL Financial Services a/k/a Linsco/Private Ledger Corp., W.S. Griffith Securities & Co., Inc. a/k/a WS Griffith Securities, Inc., New

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Patricia Ann Pearson (Claimant) vs. Salomon Smith Barney, Michael Passeroff, William Dodge, and Bari^ara Ahern (Respondents) Case Number: 07-00489 Hearina Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Patricia Ann Pearson ("Claimant") appeared pro se. Respondents Salomon Smith Barney ("Smith Barney

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02661 Avalon Partners, Inc. ("Claimant") v. Tyre F. Newsome ("Respondent") ATTORNEYS: For Claimant Avalon Partners, Inc. appeared Richard J. Babnick, Jr., Esq., of the law firm of Sichenzia, Ross, Friedman, Ference, LLP, New York, NY Respondent Tyre F. Newsome appeared pro se. Queens, NY NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 17, 2007 CASE SUMMARY: Cla