Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Carrie Mohundro, Claimant v. Richard A. Ibarra, American Fronteer Financial Corp, Institutional Equity Corporation, Respondents Case Number: 06-03531 Hearino Site: Dallas, Texas Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent Richard A, Ibarra: For Respondent Institutional Equity Corporation: Fo

Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Dean A. & Laura Hocket Coats JTTEN, Claimants v. D.A. Davidson & Co., Smith Hayes Financial Services Corp. and KFS BD Inc., Respondents Case Number: 06-01536 Hearing Site: Phoenix. Arizona Nature of the Dispute: Customers v. Members REPRESENTATION OF PARTIES For Claimant: For Respondent Smith Hayes Financial Services Corp.: Lawrence J. Klayman, Esq. Klayman & To

Award FINRA Dispute Resolution In the Matter ofthe Arbitration BehA/een: Beth Goldman and Robert Goldman, Claimants v. UBS Financial Services Inc., Respondent Case Number: 07-00702 Hearing Site: Phoenix, Arizona Nature ofthe Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Beth Goldman and Robert Goldman ProSe Paradise Valley, Arizona For Respondent: Kathleen Adams, Esq. UBS Financial Services Inc. Los An

AWARD FINRA Dispute Resolution In the Matter ofthe Arbitration Behveen: Name of Claimant Wachovia Securities, LLC vs. Case Number: 05-04639 Hearing Site: Minneapolis, Minnesota Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Katharine Harrison, and David Pennington NATURE OF THE DISPUTE Member v. Member and Associated Persons REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represent

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Name of the Claimant Case Number: 07-01754 Steriing Financial Investment Group Name of the Respondent Hearing Site: Boca Raton, Florida Euro Pacific Capital, Inc. Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES For Steriing Financial Investment Group, hereinafter referred to as "Claimant": Joshua Bleil, Esq., Ticktin & Rodriguez, Coconut Creek, Florida.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration BehA/een: Name of the Claimant Case Number. 07-01028 Morgan Stanley DW, Inc. Name of the Respondent Hearing Site: Atianta, Georgia Richard J. Paganelli Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley DW, Inc., hereinafter referred to as "Claimant": Thomas A. Volz, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Richard

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Name of the Claimant Case Number: 06-02790 RBC Dain Rauscher, Inc. Name of the Resoondent Hearing Site: Memphis, Tennessee Lynda Ann Findlay Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For RBC Dain Rauscher, Inc. hereinafter referred to as "Claimant": Donald Arbour, Esq., Minneapolis, Minnesota and Carolyn Guy, Senior Associate General Cou

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Aurum Capital Partners, L.P. and Leonfina Rowe (Claimants) vs. Lehman Brothers, Inc. and Sofia Frankel (Respondents) Case Number: 04-07284 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Aurum Capital Partners, L.P. ("Aurum") and Leontina Rowe ("Rowe"), hereinafter collectively referred to a

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Citigroup Global Markets, Inc. (Claimant) vs. Michael Friedman (Respondent) Case Number: 05-06503 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc. ("Claimant"): Jennifer Woods-Burke, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Michael Friedman ("Friedman"): Joseph F. Kee

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01250 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Name of the Respondent Hearino Site: Atianta, Georgia Joseph E. Kenna Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., hereinafter referred to as "Claimant"