Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Li Li, Claimant v. White Pacific Securities, Inc. and Alex S. Shaw, Respondents Case Number: 05-00937 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Li LI Union City, California For Respondents: Robert T. Sullwold, Esq. Sullwold & Hughes San Francisco, California CASE IN

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Rita Dei Favero and Case Number: 06-02685 Hearing Site: Chicago, Illinois Name of Respondent Re-Direct Securities Corporation NATURE OF DISPUTE Customer v. Terminated Member Firm REPRESENTATION OF PARTIES Rita Del Favero ("Claimant") was represented by Howard Prossnitz, Esq.. Law Offices of Birndorf & Birndorf, Chicago, Illinois. Re-Direct Sec

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America investment Services, Inc., (Claimant) vs. Michael Mercadante (Respondent) Case Number: 06-04125 Hearing Site: Albany. New York. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fisher, Esq., Kane & Fisher, Ltd., Chicago, IL Respon

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charles Goldschmidt, David Price, Ledlie Borgerhoff, Terry McSweeney, Ronald Cook, Howard Asher, and Robert Eickholt (Claimants) vs. CIBC World Markets Corp. (Respondent) Case Number: 05-06316 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Charles Goldschmidt ("Goldschmidt"), David Price ("Price"), Le

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael and Laura Hammond, and Sports Etc II, Inc., Profit Sharing Plan (Claimants) vs. David H. Sidwelt, John C. Riley, Morgan Stanley DW, Inc., and Citigroun Global Markets, Inc. (Respondents) Case Number: 07-00582 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Associated Persons and Members REPRESENTATION OF PARTIES Claimants Michael Hammond ("M. Ha

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Doreen Romamello-Davis (Claimant) vs. Marc Steinberg (Respondent) Case Number: 07-00611 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Doreen Romamello-Davis hereinafter referred to as "Claimant" appeared pro se. Respondent Marc Steinberg hereinafter referred to as "Respondent": Robert B. Steinberg,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01785 William J. Paulson, ("Claimant") vs. Stifel, Nicolaus & Company, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Stevens Point, Wl. For Respondent appeared in-house counsel David M. Minnick, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 5, 2007 CASE SUMMARY: Claimant alleged that Respondent recommended stocks which were unsuitable for

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01366 l\/licliael J. Smitli (Claimant) vs. A.G. Edwards & Sons, inc. and Wayne Weatherford Watson (Respondents) ATTORNEYS: Claimant l\/licliael J. Smith ("Claimant") appeared pro se, Topeka, KS For Respondents A.G. Edwards & Sons, Inc. and Wayne Weatherford Watson ("Respondents") appeared in-house counsel Dennis J. Capriglione, Esq., A. G. Edwards & Sons, Inc., St. Louis, MO A.G. E

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Janney Montgomery Scott LLC (Claimant) vs. Bruce J. Paura (Respondent) Case Number: 07-02086 SITUS: Orlando, Florida. NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott LLC ("JMS"), hereinafter referred to as "Claimant": Carrie L. CheIko, Esq., Office of General Counsel, JMS, Philadelphia. PA. Bruce J. Paura, hereinafter re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Stanislav Tolstunov a/k/a Stan Tolstunov (Respondent) Case Number: 06-05077 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., hereinafter referred to as "Claimant"