Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Benjamin Thomas (Claimant) vs. Shattuck Hammond Partners, LLC and Vinton Rollins (Respcndents) Case Number: 07-00300 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Benjamin Thomas ("Claimant"): M. Alexis Pollock, Esq., Dreier LLP, New York, NY. Respondents Shattuck Hammond Partne

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary C. Schilling vs. Case Number: 07-01148 Hearing Site: Chicago, Illinois Name of Respondent Morgan Stanley DW, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Mary C. Schilling ("Claimant") was represented by Richard B. Fosher, Esq., SimmonsCooper, LLC, East Alton, Illinois. Morgan Stanley DW, Inc. ("Respondent")

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants The Billie Kandel Levine Trust #2 Jeffrey Kandel Names of the Respondents Kaplan & Co., Securities, Inc. Bear, Stearns & Co., Inc. Jed Kaplan Name of the Third Partv Respondent Louise Harrison Case Number: 05-00757 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person vs. Associat

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00520 George W. Eiland Calvin Smith Errell Glen Heflin Roger K. Lunsford Names of the Respondents Hearing Site: Columbia, South Carolina RBC Dain Rauscher, Inc. Nations Financial Group, Inc. Thomas Leechin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES George W. Eiland ("Eila

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04110 Wilbert Battle Anna M. Anderson Delie Anthony Ellis Beasley Ruth Boone Eddie Cooper Mamie Cooper Linda Eley Excell Finch Alma Finch Deborah W. Gaines William Henry Gray, Jr. Lille H. Greene William Harrell, Jr. Samuel Harrell Rita Harris Mary B. Henderson Mary Hines Odell Knight

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Buriington Capital Markets, Inc. (Claimant) vs. GFI Group, Inc., GFI Securities, LLC, and Paul Basile (Respondents) Case Number: 04-05610 Hearing Site: New York. New York Nature of the Dispute: Member vs. Non-Member, Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Buriington Capital Markets, Inc., hereinafter referred to as "Claimant": Richard A. Roth, Esq., T

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Citigroup Global Markets, Inc. vs. Case Number: 07-02115 Hearing Site: Cincinnati, Ohio Name of Respondent / Counter-Claimant William J. Hamilton NATURE OF THE DISPUTE Member v. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant" or "Citigroup") was represented by Christopher J. Camey, Esq.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark Urich (Claimant) vs. Robert Lewin and Richard Lewin (Respondents) Case Number: 06-03481 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Mark Urich ("Claimant"): Debra G. Speyer, Esq., Law Office of Debra G. Speyer, Bala Cynwyd, PA. Previously represented by Morgan W. Bentley, Attorney at Law, Newar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04641 Stanley Stahl Stanley Stahl and Marie Stahl TTEE FBO Stanley Stahl Recoverable TR U/A 11/11/03 Names of the Respondents Hearing Site: Boca Raton, Florida Brookstreet Securities Corp. Robert Gest Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Stanley Stahl and Stanley Stahl

AWARD FINFIA Dispute Resoiution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02977 Rayna Brown Name of the Respondents Hearing Site: Los Angeles, California J.P. Morgan Securities Inc., PFG Distribution Company, and John A. Anderson, Jr. Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES Claimant, Rayna Brown, hereinafter referred to as "Claimant": Montgomery G. Griffin,