Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Ameena All Names of the Respondents Delta Equity Service Corporation, Inc. Robert Henderson, Jr. Acument Securities, Inc. William E. Stenlund Case Number: 04-04358 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES For Ameena All, hereinafter referred to a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lewis Ira Goldman (Claimant) vs. Finacorp Securities and Eduardc Jose Prado (Respondents) Case Number: 06-03677 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lewis Ira Goldman, hereinafter referred to as "Claimant" appeared pro se. Respondents Finacorp Securities ("Finacorp") and Ed

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anthony Titone (Claimant) v. RBC Dain Rauscher, Inc., as Successor-in-interest tQ Tucker Anthony, Inc., and Stanley Hochhauser (Respondents) Case Number: 05-01106 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person; REPRESENTATION OF PARTIES Claimant Anthony Titone hereinafter referred to as "Claimant": Kimberiy Testa, Esq.,

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Sapack (Claimant) v. CIBC World Markets Corp. (Respondent) Case Number: 06-05212 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Michael Sapack hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Farmington, CT. Respondent CIBC Worid Markets Corp., hereinafter referred to as "Re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ethel Vidas, individually, as Trustee of the Ethel Vidas Trust Dtd 4-2-97; and as Successor Trustee of the Harry C. Vidas Trust Dtd 4-2-97 vs. Name of Respondent UBS Financial Services inc. Case Number: 06-04247 IHearing Site: Cincinnati, Ohio NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Ethel Vidas, individuall

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Raul Dennis Salmon vs. Names of Respondents O.N. Equity Sales Company, Matthew Keith Nelson, and Ohio National Life Assurance Corp. Case Number: 06-04859 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customer vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES Raul Dennis Salmon ("Claimant") appeared pro s

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ann Claire Stephens Koch vs. Case Number. 04-07807 Hearing Site: St. Louis, Missouri Names of Respondents A. G. Edwards & Sons, Inc., Bruce A. Bamhart, Andy Franldin Stoe. and Gregory Robert Howell NATWEQFTHEPI8PUTE Customer vs. Member and Associated Persons REPRESENTATIQM OF PARTIES Ann Claire Stephens Koch ("Claimanr) was rep

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Barbara Jo Kesterson vs. Name of Respondent H&R Block Financial Advisors, Inc. Case Number: 06-01350 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Barbara Jo Kesterson ("Claimant") was represented by John L. Hampton, Esq. and James Heiman, Esq., Gilliland & Hayes, P.A., Lawre

stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Wachovia Securities. LLC, Claimant v. Michael F. Jacobs. Respondent Case Number: 06-02806 Hearing Site: Denver, Colorado Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Renan I. Sugarman, Esq. Renan I. Sugarman. P.C. Chicago, Illinois For Respondent: Michael F. Jacobs In Pro Se Longmont, Colorado CASE INFORM

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Darrell W. Williams and Diana M. Williams, Claimants v. Ameriprise Financial Services, Inc., IDS Life Insurance Company, and Stephen G. Hamilton, Respondents Case Number: 06-02913 Hearing Site: Houston, Texas Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: Mark T. Womack, Esq. The Womack Law Firm Houston, Texas