FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01009 Cass E. Sliewbart, Sr., ("Claimant") vs. Fidelity Brol< erage Services LLC, ("Respondent") ATTORNEYS: Claimant appeared Pro se. Humble, TX. For Respondent appeared Diane M. Brown Esq., in-house Counsel, Boston. MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 7, 2008 CASE SUMMARY: Claimant alleged that Respondent is responsible for losses incurred due to his inabili

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE; 08-03362 Kathy Lynn Sechrist, ("Claimant") vs. E*Trade Securities. LLC, ("Respondent") ATTORNEYS: Claimant appeared Pro se. Pinedaie, WY. For Respondent appeared John Bersin, Esq., In-house Counsel, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 18, 2008 CASE SUMMARY: Claimant alleged that Respondent sold her securities without her authorization or knowledge o

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04010 Seth D. Rose and Louise Rose, ("Claimants") vs. John Philip Dolan and UBS Financial Services, Inc., ("Respondents") ATTORNEYS: Claimants appeared Pro se, Dix IHills, NY. For Respondents appeared Tracey Salmon-Smith, Esq., In-house Counsel, UBS Financial Services. Inc.. Weehawken, NJ. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: October 30. 2008

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Joseph C. Delaura (Respondent) Case Number: 08-00123 Hearino Site: Newari< , New Jersey consolidated with Joseph C. Delaura (Claimant) vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 08-00344 Hearino Site: Newark. New Jersey Nature of the Dispute:

Award FINRA Dispute Resolution In the Wia\XeT of the Arbitration Between: Holly Angell Hardman (Claimant) vs. Royal Alliance Associates, Inc., Genworth Financial Securities Corp., and Arthur S. Grossbard (Respondent) Case Number: 08-02018 IHearing Site: Boston. I\flassachusetts Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Holly Angell Hardman hereinafter referred to as "Claimant": Ari J. Hoffman,

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: John P. Gaffney (Claimant) vs. Citigroup Global Markets, Inc., Steven Torrico, Peter Liebeskind, George Batelli, Maribeth Robinson, and Andrew Griiio (Respondents) Case Number: 06-03789 Hearino Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant John P. Gaffney hereinafter refen^ed to as "Claima

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Albert Vacchiano (Claimant) vs. Freedom Holding Group, LLC. Amerivest Partners, LLC and Bay Crest Partners, LLC (Respondents) Case Number: 08-01592 Hearing Site: New Yori^, New York Nature of the Dispute: Associated Person vs. Non-Member and Members. REPRESENTATION OF PARTIES Claimant Albert Vacchiano hereinafter referred to as "Claimant": Kathleen Peratis. Esq., Outten & Golde

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03203 The Larry S. Liederman Living Trust, ("Claimant"') vs. Foliofn Investments, Inc., ("Respondent") ATfORNEYS: Claimant appeared Pro se, San Francisco, CA. For Respondent appeared Michael J. Hogan. Vienna, VA. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 9, 2008 CASE SUMMARY: Claimant alleged misrepresentation and omission of facts. Claimant maintained that as

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04105 Oppenheimer& Co., Inc., ("Claimant") vs. Lenny Dykstra, ("Respondent") ATTORNEYS: For Claimant appeared Raquel Terrigno, Esq., In-house Counsel, New Yoric, NY. Respondent Lenny Dykstra did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 6, 2008 CASE SUMMARY: Claimant alleged that Respondent has refused to repay the balan

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04189 Charies Hunter Branch (Estate) Represented by William Todd Branch, Executor/Trustee, ("Claimant") vs. Kent Sheridan Greenway and H. Beck, Inc., ("Respondents") ATTORNEYS: For Claimant appeared Pro se, Chesterfield, VA. For Respondents appeared Matthew Tracy. Esq., Winget, Spadafora & Schwartzberg, LLP, NewYoric, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person