Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fanam, LLC (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Respondent) Case Number: 04-05063 Hearina Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Fanam, LLC, hereinafter referred to as "Claimant": Louis F. Burke, Esq., and Leslie Wybiral, Esq., Louis F. Burke, P.C, New York, NY. Respondent Merrill L

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anne McCarver (Claimant) vs. Smith Barney, Inc., Brian Katz, and Joseph DeNeault (Respondents) Case Number: 05-04863 Hearing Site: Providence, Rhode Island Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Anne McCarver ("McCarver") hereinafter referred to as "Claimant": Catherine A. Sammartino, Esq., Samma

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James Krieg vs. Names of Respondents Ameriprlse Financial Services and Todd Allen Glaw Case Number: 06-04456 Hearing Site: Des Moines, Iowa NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES James Krieg ("Claimant") was represented by Gail E. Bolivar, Esq., Bolivar Law Firm, Marshalltown, Iowa.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jacqueline Hayes vs. Names of Respondents Stifel. Nicolaus & Co.. Inc. and Curtis W. Triggs Case Number: 05-01072 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Jacqueline Hayes ("Claimant") appeared pro se. Stifel, Nicolaus & Co.. Inc. ("Stifel") was represente

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Christine McGinnis, Claimant v. UBS Financial Sen/ices Inc., Respondent UBS Financial Sen/ices Inc., Counter-Claimant v. Christine McGinnis, Counter- Respondent UBS Financial Services Inc., Third-Party Claimant v. Fredrick W. McGinnis, Third-Party Respondent Case Number: 06-04621 Hearina Site: Houston, Texas Nature of the Dispute: Customer v. Member Nature of the Dispute: M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Timothy Anderson, Steven Barlow, James Bishop, Jr., Kevin Coleman, Andrea Costello, Lawrence DeMaria, Kevin DeThomas, Jason Gammel, Nicholas P. Heymann, Bryan Keane, Gregg Kennedy, Mark Kennedy, Richard Klugman, Mark Lipacis, James Lucier, Jr., John McMillin, III, Robert Morrisey, Matthew Park, Howard Penney, James Reddington, David Shove, Katherine Styponias, Lynne Theurer, and John C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Christopher Fulco (Claimant) vs. Bear, Stearns & Co., Inc. (Respondent) Case Number: 05-05965 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Christopher Fulco hereinafter referred to as "Claimant": Ross B. Intelisano, Esq., Rich & Intelisano, LLP, New York, NY. Respondent Bear Stears & Co., Inc., hereinaf

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Banc of America Investment Services, Inc. vs. Case Number: 06-02555 Hearing Site: Dallas, Texas Name of Respondent Mark Del Toro NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant") was represented by Gregory Simon, Esq., Kane & Fischer, Ltd., Chicago, Illinois. M

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert Hoffman vs. Names of Respondents Legacy Trading Company, LLC, Mark Uselton, and Stephen Boruchin Case Number: 06-04378 Hearing Site: Oklahoma City, Oklahoma NATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Robert Hoffman ("Claimant") was represented by David A. Zisser, Esq.. Isaacson

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Patrick Lowe and Chariotte Lowe, Claimants v. Citigroup Global Maricets Inc. f/k/a Salomon Smith Barney Inc., Respondent Case Number: 06-04380 Hearina Site: Los Angeles, California Nature of the Dispute: Associated Persons v. Member REPRESENTATION OF PARTIES For Claimants: Neil A. Sussman, Esq. Sussman & Frankel, LLP New York, New York John W. Martin, Esq. Los Angel