FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00869 Vision Securities, Inc. (Claimant) vs. Lewis Franklin and Stephen Woods (Respondents) ATTORNEYS: For Claimant Vision Securities, Inc. appeared Michael Nielsen, Vision Securities, inc., Melville, NY Respondent Stephen Woods appeared pro se, Franklin Square, NY NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 14, 2007 CASE SUMMARY: Claimant alleged that Responde

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02362 Ruth-Anne Barden-Whitlow Name of the Respondent Hearinq Site: Norfolk, VA Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ruth-Anne Barden-Whitiow, hereinafter referred to as "Claimant": Gregory S. Larsen, Esq., Roy, Larsen, Romm & Lascara, P.C, Chesapeake, VA. For Citigr

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jeff Karnes Jeremy Voye Sarah Hedges Names of the Respondents Citigroup Global Markets Inc., f/k/a Salomon Smith Barney, Inc. Kevin Keating Jack Grubman Case Number: 03-08225 Hearing Site: Washington, D.C. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jeff Karnes, Jer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark C. Quale, Claimant v. Merrill Lynch. Pierce. Fenner & Smith Incorporated, Respondent Case Number: 06-01674 Hearinq Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Matthew W. Woodruff, Esq. Eppenstein & Eppenstein New York. New York For Respondent: Carol B. Trask. Esq. Amy Frisk, Esq. Rubin Fo

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Jonathan Davies (Claimant) vs. Gilad Sartena (Respondent) Case Number: 06-04403 SITUS: New York, New York NATURE OF DISPUTE: Customer v. Associated Person. REPRESENTATION OF PARTIES: Jonathan Davies, hereinafter referred to as "Claimant" appeared pro se. Respondent Gilad Sartena did not enter an appearance in this matter. DATE FILED: October 3, 2006. CASE SUMMARY: Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03795 David Luther Name of the Respondent Hearinq Site: Nashville, Tennessee Chicago Investment Group, LLC Nature of the Dispute: Customer v. Member. REPRESENTATION QF PARTIES For David Luther, hereinafter referred to as "Claimant": Seth E. Lipner, Esq., Deutsch & Lipner, Garden City, New York. For Chicago Investment Group, LLC, here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Marge Hartunian as Trustee of the Hartunian Family Tmst UTD 3/8/95 and William Marshall, Claimants v. Wedbush Morgan Securities, Inc., Respondent Wedbush Morgan Securities, Inc., Counter-Claimant v. Marge Hartunian and William Marshall, Counter-Respondents Case Number: 06-00118 Hearing Site: Los Angeles. California Nature of the Dispute: Customers v. Member Member v. Customers

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04623 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Name of the Respondent Hearing Site: Tampa, Florida Christopher McAdoo Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., hereinafter referred to as "Claimant": Andre R

Third Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05101 Uzi Barany Nechama Goldblat Names of the Respondents Hearinq Site: Boca Raton, Florida Sands Brothers & Co., Ltd. Steven Sands John Telfer Leila Shuminer William A. lommi, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Uzi Barany ("Barany") and Nec

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mildred Markowski, Claimant v. Neil Adieberg, Christopher Hardy Davis, Scott Albert Grebenstein, Mary-Ann Princinsky, William Taylor Skinner, Jr., Bonnie Bressler Stein, Jennifer Elizabeth Vollmer, Respondents Case Number: 07-01278 Hearinq Site: Las Vegas, Nevada Nature of the Dispute: Customer vs. Associated Persons REPRESENTATION OF PARTIES Claimant Mildred Markows