Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Vincent R. Santalucia (Claimant) vs. Questar Capital Corporation, Legacy Financial Services, and Richard A. Ganim, Jr. (Respondents) Case Number: 05-06621 Hearing Site: Clevalnd, Ohio Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Vincent R. Santalucia hereinafter referred to as "Claimant": Thomas C. Wagner, Esq., Van Deuse

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Ford, II (Claimant) vs. Prudential Equity Group, LLC, Andrew Samalin and Stephen Glynn (Respondents) Case Number: 06-04655 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Richard Ford, II hereinafter referred to as "Claimant": Joseph Keenan, Esq., McCanliss & Early, LLP, New York, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Roslyn Maren (Claimant) vs. Moors & Cabot, Inc., and Winslow, Evans & Crocker, Inc. (Respondents) Case Number: 07-00263 Hearina Site: Buffalo, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Roslyn Maren hereinafter referred to as "Claimant": Joanne A. Schultz, Esq., Centrevllle, VA. Respondent Moors & Cabot, Inc., hereinafter referr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch Pierce Fenner & Smith, Inc., and Advest, Inc. (Claimants) vs. James D. Weil (Respondent) Case Number: 06-02201 Hearing Site: New Yorit, New York Merrill Lynch Pierce Fenner & Smith, Inc., and Advest, Inc. (Claimants) vs. James Montalto (Respondent) Case Number: 06-02499 Hearina Site: New York, New York Nature of the Dispute (06-02201): Members vs. Associated Perso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. (Claimant) vs. Robert F. Tobin (Respondent) Case Number: 06-03960 Hearing Site: New Yorl< , New York Citigroup Global Markets, Inc. (Claimant) vs. Renee E.C. Isely (Respondent) Case Number: 06-03970 Hearing Site: New York, New York Nature of the Dispute (06-03969): Member vs. Associated Person. Nature of the Dispute (06-03970): Member vs. Associated Pe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gary K. Chan (Claimant) vs. Unise Investment Corp. (Respondent) vs. Traderfield Securities, Inc. (Third Party Respondent) Case Number: 02-05541 Hearing Site: New York, New York Nature of the Dispute (Initial Claim): Associated Person vs. Member. Nature of the Dispute (Third-Party Claim): Member vs. Member. REPRESENTATION OF PARTIES Claimant Gary K. Chan hereinafter referred to

FINRA DISPUTE RESOLUTION AWARD FHIRA DISPUTE RESOLUTION CASE: 07-01246 Robert L Hill and Mary Hill, ("Claimants") vs. UBS Finandal Senrices. Inc., Jeffrey Wniam Brauley and Richard Earie Wilhelm, ("Respondents") ATTORNEYS: ~ ~ For Claimants appeared Christopher D. Hill, Paris, KY. For Respondents appeared in-house counsel Margarita L. Marsico. Esq.. We^awtcan, NJ. NATUI^ OF DISPUTE: Customers v. Member and Assodated Persons DATE FILED: A

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joyce D. Schmidt, Claimant v. Legacy Financial Services, Inc. and Roger D. Martin, Respondents Case Number: 06-04150 Hearing Site: Denver, Colorado Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Francis V. Cristiano, Esq. Cristiano Law, LLC Greewood Village, Colorado For Respondents: Jonathon D. Bergman, Esq.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04625 Betty Gray Name of the Respondents Hearing Site: Little Rock, Arkansas Citigroup Global Markets, Inc. Charles Rodney George Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Betty Gray, hereinafter referred to as "Claimant": Richard C. Downing, Esq., Richard C. Downing, P.A., Little

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Pamela M. Maloof, Pamela M. Maloof IRA, and Kathleen J. Smitz and Pamela M. Maloof, JTWOS vs. Case Number: 06-04784 Hearing Site: Indianapolis, Indiana Names of Respondents Raymond, James & Associates, Inc., Raymond James Financial Services, Inc., and Christopher Eric Saxon NATURE OF THE DISPUTE Customers vs. Members and Associated Person