Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Todd J. Slotkin and Robert E. Woods (Claimants) vs. NATIXiS Capital Marl< ets Inc.. f/k/a IXIS Capital Markets Inc., and NATIXIS Securities North America Inc. (Respondents) Case Number: 07-01874 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimants Todd J. Slotkin ("Slotkin") and Robert E. Woods (

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vincent Bellino (Claimant) vs. Wachovia Securities. LLC, Frank Kim, John Compton, Craig Chin, and Patrick Kim (Respondents) Case Number: 04-05795 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Vincent Bellino hereinafter referred to as "Claimant" appeared pro se. Previously repres

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Gregory Elinsky (Respondent) vs. Michael Botte and Charles Haraburda (Third Party Respondents) Case Number: 05-01212 Hearinq Site: Philadelphia, Pennsylvania Nature of the Disputes: initial Ciaim: Member vs. Associated Person. Third-Party Claim: Associated Person vs. Associated Persons. REPRESENTATION OF PARTIES

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01752 Ray E. Debarbieris. ("Claimant") vs. E*Trade Securities LLC . ("Respondent") ATTORNEYS: Claimant appeared pro se, Lafayette. LA. For Respondent appeared in house counsel John Bersin, Esq., Roseville. CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 5. 2007 CASE SUMMARY: Claimant alleged that Respondent made errors in the transfer of stock to preferred stock. Claima

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Roy Budd (Claimant) vs. Citigroup Global Markets. Inc. (Respondent) Case Number: 06-04084 Hearina Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Roy Budd hereinafter referred to as "Claimant": Ethan A. Brecher. Esq.. Liddie & Robinson. L.L.P.. New York. NY. Respondent Citigroup Global Markets, Inc.. hereinafter r

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John R. Wallis, and John R. Wallis IRA, Claimants Case Number. 07-01236 CIBC World Markets Corp., Respondents Hearina Site: Houston. Texas Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Claimants John R. Wallis, and John R. Wallis IRA hereinafter collectively referred to as "Claimant": Philip M. Aidikoff. Esq.. Robert A. Uhl. Esq.. and Ryan K.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Franck. Claimant Case Number: 07-00117 Ameriprise Financial Services. Inc., Respondent Hearinq Site: Boise, Idaho Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant David Franck: Debra Hayes, Esq.. Charles C. Hunter, Esq.. Woska & Hayes, LLP, Houston. Texas For Respondent Ameriprise Financial Services, Inc.: Thomas P. Swigert. Esq., Gretc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Karen Schwartz. Claimant v. Banc of America Investment Services. Inc.. Respondent Case Number: 07-01105 Hearina Site: San Diego, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Lawrence L. Klayman, Esq. Steven D. Toskes, Esq. Klayman & Tosl< es. P.A. Boca Raton, Florida For Respondent: Rodney Aci^er. Esq. Genna Stephens. E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00352 Merrill Lynch. Pierce. Fenner & Smith incorporated Name of the Respondent Hearina Site: Houston. Texas Crystal L. Steele Name of the Counter-Claimant Crystal L. Steele Name of the Counter-Respondent Merrill Lynch. Pierce, Fenner & Smith incorporated Nature of the Dispute: Member v. Associated Person Associated Person v. Mem

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Clinton and Julie Howe Name of the Respondents BancWest Investment Services, Inc. Bank of the West Gregory Geis Allstate Life Insurance Company Case Number: 06-05130 Hearina Site: San Francisco. California Nature of the Dispute: Customers v. Members. Non-Member and Associated Person REPRESENTATION OF PARTIES Claimants. Clinton and Julie