Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 00-00127 Sanfbrd Josephson, individually and as Trustee of the Sanfbrd Josephson Revocable Living Trust Name of the Respondent Hearino Site: Boca Raton, FL Citigroup Global Maricets. Inc. a/k/a Smith Bamey, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sanford Josephson, individually and as Tru

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01447 Annette S. IHines Names of the Respondent s Hearing Site: Jackson, Mississippi First Allied Securities, Inc. FFP Securities, Inc. Ladd Grapski Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Annette 8. Mines, hereinafter referred to as "Claimant": Lee Bowie, Esq., Davidson

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Names of the Claimants Case Number: 08-03109 Andrew M. Stein Stein Holdings, Inc. Stein investments, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Keegan & Company Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION QF PARTIES For Andrew M. Stein, Stein Holdings, Inc. and Stein Investments. LLC, hereinafter collectively referred

AWARD rlNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Banc of America Investment Services. Inc. vs. Case Number 08-04560 Hearing Site: Dallas, Texas Name of Respondent Kevin M. Triztia NATURE QF THE DISPUTE Member vs. Associated Person REPRESENTATION QF PARTIES Banc of America Investment Services, Inc. ("Claimant" or "BAI") was represented by Diane C. Fischer, Esq. and Gregory Simon, Esq.. Kane & Fi

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joel Handorf vs. Case Number: 09-04061 Hearing Site: Columbus, Ohio Names of Respondents Charles D. Luttjohann, and Charles D. Luttjohann, IRRA NATVRE OF THE PI8PUTE Associated Person v. Customer REPRESENTATION OF PARTIES Joel Handorf ("Claimant" or "HandorT) was represented by Eric A. Michaels, Esq., Saretsky Hart Michaels & Gould

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Thomas Untiedt. James Untledt, Anna L. IHodges, the Anna Hodges Living Trust, and the Thomas Untledt Living Trust vs. Case Number. 07-02750 Hearing Site: Detroit, Michigan Names of Respondents GunnAlien Financial, Inc., Franl^ J. Biuestein, Questar Capital Corporation, Maximum Financial Group, Inc., and F.F., inc. and Name of Cross-Claimant

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04898 Newbridge Securities Corporation (Claimant) vs. Bret Shofner (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo. StreetWide Asset Recovery Group. Inc . Hazlet. NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 20. 2009 CASE SUMMARY; Claimant asserted the following cause of action: breach of promissory

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05095 Maxim Group LLC (Claimant) vs. George E. Mahfouz (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Maria Melissa T. Astudillo, Esq.. Maxim Group LLC, New York. NY. Respondent appeared pro se, Phoenix. AZ. NATURE OF DISPUTE: Member v. Customer DATE FILED: August 31. 2009 CASE SUMMARY.- Claimant asserted the following cause of action: failure to repay balance in account. The cause of act

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05198 James W. Patrick (Claimant) vs. Charles Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sausalito, CA. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. i^ember DATE FILED: August 28. 2009 CASE SUI^MARY: Claimant asserted the following causes of action: misrepresentations and omissions.

Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: Worid Trade Financial Corporation (Claimant) vs. Wonderland Capital Corp., and Eugene W. Austin (Respondente) Case Number: 09-04795 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant World Financial Corporation hereinafter refenred to as "Claimant": W. Scott Lawler. Esq., Lawler & Associates. PLC. Temecula. CA. Re