Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Weatherly Securifies Corporation (Claimants) vs. John S. Matthews, Anthony Ottimo, Thomas Giugliano and Ehrenkrantz King Nussbaum, Inc. (Respondents) vs. Weatherly Securities Corporation, Weatherly International PLC, Jack Najarian, William Odenthal, and Michael Ward (Third-Party Respondents) Case Number 01-05638 Hearing Site: New York, New York and Thomas Giugliano and Anthony

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Estate of Edward A. Cantor (Claimant) vs. Gibraltar Securities, Co., Hartford Insurance Co., Equitable Distributors, Inc., and Jeffrey Grayson (Respondents) Case Number: 99-03196 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Members, Non-Member and Associated Person. REPRESENTATION OF PARTIES Claimant The Estate of Edward A. Cantor hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Tango Fashions Trading, LTD. (Claimant) vs. Jon Lee (Respondent) Case Number: 06-00299 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant, Tango Fashions Trading, LTD., hereinafter referred to as "Claimant": David H. Fromm, Esq., Brown Gavalas & Fromm LLP, New York, NY. Respondent, Jon Lee, hereinafter refe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sheldon P. Spitz, TTE, SOL Spitz Co. Inc., Profit Sharing Trust (Claimant) vs. Timecapital Securities Corporation and Jeffrey Harriton (Respondents) Case Number: 06-02580 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Sheldon P. Spitz, TTE, SOL Spitz Co. Inc., Profit Sharing Trust hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: IVIaxim Group LLC (Claimant) vs. Eric Bentancourt (Respondent) Case Number: 07-00061 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Maxim Group LLC, hereinafter referred to as "Claimant": Natalie C. Edie, Esq., and James E. Siegal, Esq., Maxim Group LLC, New York, NY. Respondent Eric Bentancourt hereinaft

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 06-04726 George B. Graen and Joan A. Graen (Claimants) vs. TIAA-CREF, Inc. and Laura DIshman (Respondents) ATTORNEYS: Claimants George B. Graen and Joan A. Graen ("Claimants") appeared pro se, Lowell, AR. For Respondent TIAA -CREF, Inc. appeared Cananza M. Pryor, in-house counsel, Charlotte, NC. For Respondent Laura Dishman appeared Gary P. Baricet, Esq.. Little Rock, AK. NATURE O

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00628 Thomas Anthony Guemero (Claimant) vs. Mohamed imran Hussain (Respondent) ATTORNEYS: For Claimant Thomas Anthony Guemero appeared Michael S. Colombo of StreetWide Asset Recovery Group, Inc., New Yori(, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: February 27.2007 CASE SUMMARY: Claimant

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00333 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Name of the Respondent Hearing Site: Boca Raton, FL Jason H. Blum Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Citigroup"), hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04375 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Richmond, VA Davis Estes Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc. ("BOA"), hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, I

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc., Claimant v. Danny L. Kiick, Respondent Case Number: 06-03414 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: D. Daxton White Kane & Fischer, Ltd. Chicago, llinois For Respondent: Danny L. Kiick In Propria Persona Rohnert Park, California