Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Thomas P. Matula Living Tmst Dated 12/14/05, Claimant v. Morgan Stanley DW Inc. and Chris Leonhard, Respondent Case Number. 06-04192 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: C. Darrell Sooy, Esq. TOBIN & TOBIN San Francisco, California For Respondents: Jeffrey F. Sil

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William Morris Jordan, Jr. (Claimant) vs. Gregory Serras and Vanguard Capital (Respondents) Case Number: 06-01622 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant William Norris Jordan, Jr., hereinafter referred to as "Claimant": Mary Kay Brown, Esq., Brown Stone Nimeroff, LLC,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02405 Leonard W. Krouner ("Claimant") vs. E*Trade Securities LLC ("Respondent") ATTORNEYS: Leonard W. Krouner ("Claimant") appeared pro se, San Diego, CA For E*Trade Securities LLC ("Respondent") appeared in-house counsel John Bersin, Esq., Roseville, CA NATURE OF DISPUTE: Customer v. Member DATE FILED: August 16, 2007 CASE SUMMARY: Claimant alleged that Respondent's failure to exe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05202 David Hubert Name of the Respondents Hearing Site: Los Angeles, California Bear, Stearns & Co. Inc. Donald Kellen Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant, David Hubert, hereinafter referred to as "Claimant": Fred Rucker, Esq., Law Offices of Fred Rucker, Los Angeles, Ca

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: William R. Drucker, Individually and William R. Drucker IRA, and Barbara V. Drucker (Claimants) vs. Pershing Advisor Solutions LLC (Respondent) vs. EM Financial Solutions LLC, Chariene Marant, Elizabeth Ferreira, and Marant Enterprise Holdings LLC (Third-Party Respondents) Case Number: 06-03305 Hearing Site: Boston, Massachusetts Nature of the Dispute: Initial Claim: Customer v

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James O'Leary (Claimant) vs. Salomon Smith Barney, Inc. and Ron Sallet (Respondents) Case Number: 06-00575 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant James O'Leary hereinafter referred to as "Claimant": Dan A. Druz, Esq., Attorney at Law, Manasquan, NJ. Respondents Salomon Sm

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01982 Marilyn J. Adams, IIRA ("Claimant") vs. A.G. Edwards & Sons, Inc. and Christian Thomas Clinton ("Respondents") ATTORNEYS: Marilyn J. Adams, IIRA ("Claimant") appeared pro se, Lantana, FL For A.G. Edwards & Sons, Inc. and Christian Thomas Clinton ("Respondents") appeared Brent J. Burtin, Esq., in-house counsel of A.G. Edwards & Sons, Inc., St. Louis, MO A.G. Edwards & Sons, Inc. a

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04508 Ramesh Padmanabhan Jaya Padmanabhan RJP Los Altos Investments LLC RJP Investment Partners Pienre Willard PW Gailen Investments, LLC Gailen Partners PW Gailen Alto Investors, Inc. David McLaren DML Sierra Vista Investments LLC Sierra Vista Partners Jean-Rene Menand JRM San Antonio Investments L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David A. Castillo, Claimant v. Southwest Securities, Inc., Respondent Case Number: 07-01145 Hearing Site: San Francisco. California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Cary S. Lapidus, Esq. Law Offices of Cary S. Lapidus San Francisco, California For Respondent: Will S. Montgomery. Esq. Hunton & Williams Dallas.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01744 Citigroup Global Markets Holdings, Inc. Citigroup Global Markets, Inc. d/b/a Smith Barney Name of the Respondent Hearina Site: Boca Raton, Florida Rick D. Jensen Nature of the Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets Holdings, Inc. ("Holdings") and Citigroup