Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Saralyn Ingram (Claimant) vs. Ameriprise Financial Services, Inc., f/k/a American Express Financial Advisors, Inc., and Kenneth F. DiCairano (Respondents) Case Number: 05-06076 Hearinq Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Saralyn Ingram hereinafter referred to as "Claimant": Robert Grant, Esq.,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00371 Jeffrey Laughren, Claimant vs. Joseph Stevens & Company, Inc., Respondent ATTORNEYS: For Claimant appeared Curtis E. Pew, Esq., of Hofstra University, Hempstead, NY. For Respondent appeared Eric 8. Hutner, Esq., of the firm HutnerKlarish LLP, New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: Febmary 5, 2007 CASE SUMMARY: Claimant alleged that Respondent made un

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Woodbury Financial Services, Inc. (Claimant) vs. David C. Bellinger (Respondent) Case Number: 06-04487 Hearino Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Woodbury Financial Services, Inc., hereinafter referred to as "Claimant": Jeffrey D. Hedlund, Esq., Faegre & Benson, LLP, Minneapolis, MN. Respondent Dav

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Vincent Tribo vs. Case Number: 06-02899 Hearing Site: Chicago, Illinois Name of Respondent H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Vincent TrIbo ("Claimant") was represented by Helen B. Bloch, Esq.. Bellows and Bellows, P.C, Chicago, Illinois.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02660 Steven P. Schwartz, M.D. Names of the Respondents Hearing Site: Tampa, Florida Wachovia Securities, LLC Dolores Adelaide Vance Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Steven P. Schwartz, hereinafter referred to as "Claimant": James A. Schwartz. Esq., Dunedin, Florida, until

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fred Ostrove (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 06-01926 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Fred Ostrove hereinafter referred to as "Claimant": Jacob H. Zamansky, Esq., Zamansky and Associates, LLC, New York, NY. Respondent Citigroup Global Markets, Inc. ("

FINRA Award NASD Dispute Resolution In the Matter of the Arbitration Between: Polina Tertyshnaya and Alexander Tertyshny (Claimants) vs. VFinance Investments, Inc., and Prudential Equity Group, LLC (Respondents) Case Number: 05-03086 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES Claimants Polina Tertyshnaya ("P. Tertyshnaya") and Alexander Tertyshny ("A.Tertyshny"), hereinafter colle

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Francis E. Wanat (Claimant) vs. Essex & York, Inc., and Joseph Barile {Respondents) Case Number: 06-04764 SITUS: Newark, New Jersey NATURE OF DISPUTE: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Francis E. Wanat hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Law Office of Debra G. Speyer, Philadelphia, PA. Respondent Essex and York, In

FINRA Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Peter C. Dolan (Respondent) Case Number: 07-00078 Hearing Site: Boston, Massachusetts 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": Erin A. Rowin, Es

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lorraine Cavaness vs. Case Number: 05-06260 Hearing Site: Indianapolis, Indiana Names of Respondents American General Equity Services Corporation and Daniel Bookout NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Lon'alne Cavaness ("Claimant") was represented by Phillip D. Sever, Esq., The Sever Law