Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter C. Dunne (Claimant) vs. Aura Financial Services. Inc. (Respondent) Case Number: 08-03852 Hearino Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Peter C. Dunne hereinafter referred to as "Claimant": John E. Lawlor, Esq., MJneola. NY. Respondent Aura Financial Services, Inc.. hereinafter referred to as "Respon

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. flkia Salomon Smith Barney, Inc. (Claimant) vs. Peter C. Dolan (Respondent) Case Number: 08-02086 Hearino Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc. f/k/a Salomon Smith Bamey, Inc., hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Carlos Reisen, Jr. vs. Name of Respondent J.J.B. Hilliard, W.L Lyons. LLC Case Number: 08-02881 Hearing Site: Cincinnati, Ohio Associated Person vs. Member Carlos Reisen, Jr. ("Claimant" or "Reisen") was represented by William A. Healy, Esq., Westminster, Maryland. J.J.B. Hilliard, W.L. Lyons, LLC ("Respondent" or "Hilliard Lyons") was represented by

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claim^ Case Number: 08-02539 Banc of America Investment Sen/ices, Inc. Name of the Respondent Hearina Site: Baltimore, Maryland Michael Schuler Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq.. Kane & Fischer, Ltd.. Chicag

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00869 D. Henry Blevins Names of the Respondents Hearing Site: Little Rock, Arkansas SAL Financial Services, Inc. d/b/a Sterne Agee Financial Services, Inc. Sterne, Agee & Leach, Inc. Charles R. White Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES D. Henry Blevins, hereinaft

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Morgan Stanley & Co. Incorporated vs. Willie J. Brice, Jr. Case Number: 09-00911 SITUS: Boca Raton, Florida NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES Morgan Stanley & Co. Incorporated, hereinafter referred to as "Claimant": Alan S. Brodherson, Esq., Law Offices of Alan S. Brodherson, New Yoric, New Yoric. Respondent did not enter an appearance in

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Woridwide Wealth Management and Jaime Diaz (Claimants) vs. Kenneth Thom (Respondent) Case Number: 08-03205 Hearing Site: New York, New York Nature of the Dispute: Non-Member and Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimants Woridwide Wealth Management ("Woridwide") and Jaime Diaz ("Diaz"), hereinafter collectively referred to as "Claimants": Jaime D

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) vs. Jeremy A. Wisniewski (Respondent) Case Number: 08-03083 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co.. inc., hereinafter referred to as "Ciaimant": Peter Byer. Esq., Oppenheimer & Co., Inc., New Yori^, NY. Respondent Jeremy A. Wisniewski hereinafter

AWARD FiNRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Banc of America Investment Services (Claimant) vs. John M. Lee (Respondent) Case Number: 08-03700 SITUS: Newari^. New Jersey. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES Banc of America Investment Services hereinafter referred to as "Claimant": Kiran V. Somashekara, Esq., Wolff & Samson. PC, West Orange. John M. Lee hereinafter referred to as "Resp

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter and Karen Ramos (Claimants) v. Paul Thompson and Genworth Financial Securities Corporation (Respondents) Case Number: 08-00086 Hearina Site: New Yorl^, New Yorie Nature of the Dispute: Customers vs. Associated Person and Member REPRESENTATION OF PARTIES Claimants Peter Ramos (P. Ramos") and Karen Ramos ("K. Ramos"), hereinafter collectively referred to as "Claim