Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 08-02376 Richard C. Wolff and Ruth Wolff individually, jointly and on behalf of any IRA or tnjst accounts Name of the Respondent Hearing Site: Orlando. FL Stifel Nicolaus & Company, Inc. as successor to Ryan Becl( & Company, Inc., and in its own right Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-01181 Naomi Jean Britton Respondent Hearing Site: Phoenix, Arizona Memli Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Naomi Jean Britton, hereinafter referred to as "Claimant": Burton M. Bentley, Esq., The Bentley Law Finn, P.C, Phoenix, Arizona Respondent, Menl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: James W.Doul«is William C. and Cynthia L. Doukas Kenneth J. and Walterine F. Nilcle Joan A. RockouskI Duane and Shiriey A. Sanders Name of the Respondents: Legacy Financial Services, inc. Legacy Advisory Sen^ices, Inc. Dennis Mariow R. Preston Pitts, Jr. Larry LOvistgaardJi Ann Marie Foley Joseph A. D'Altiiia Case Number 07

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 08-01099 Donald Demmy Name of the Respondent: Hearing Site: Denver, Colorado' Stifel. Nicolaus & Company, Incorporated Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Donald Demmy, hereinafter referred to as "Claimanf: Jeffrey J. Scott, Esq., Scott & Associates. P.C., Greenwood Village, Colorado Respondent

Award FINI^ Dispute Resolution In the Matter of the Ariaitration Between: Name of the Claimant: Case Number: 08-03537 Bliot L. Burstein Name of the Resoondents: Hearing Site: San Francisco. Califbmla UBS Financial Services Inc. Sharon Louise Ford Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Elliot L. Burstein. hereinafter referred to as "Clalmanf appeared pro se: Santa Cruz. California

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dwayne Witt Revocable Trust, Dwayne L. Witt, Trustee; Dwayne L. Witt; Barbra Witt Trust, Barbara L. Witt, Trustee; Gerard Timothy, Individually and as Beneficiary of the Ruby Timothy, Deceased IRA; Clarence Koester; Betty Zahn (IRA); Harold Zahn; Betty Zahn; and Dariene Brown. IRA vs. Names of Respondents Capital Growth Financial, LLC. Wac

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02906 Elizabeth N. Nolan ("Claimant") vs. William Bowen Astrop, Jr. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Naples, FL. Respondent appeared Pro se, Atlanta, GA. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: August 13,2008 CASE SUMMARY: Claimant alleged that Respondent filed inaccurate, materially lacking in appropriate context, and short on speci

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Doran (Claimant) vs. CISC World Markets Corp. (Respondent) Case Number: 08-00160 Hearina Site: Buffalo. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Michael Doran ("Claimant"): Howard M. Rosenfield, Esq.. Law Office of Howard Rosenfield, Fannington, CT. Respondent CISC World Markets Corp. ("Respondent"): Lloyd S. Cla

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01556 Robert Goldfine, (Claimant) vs. Fidelity Brokerage Services. LLC (Respondent) ATTORNEYS: For Claimant: Curtis E. Pew, Esq., Hofstra University Securities Arbitration Clinic, Hempstead, NY. For Respondents: Erin K. Fair, Esq., Fidelity Brokerage Services LLC, Boston, MA. NATURE OF DISPUTE: Customer vs. Member. DATE FILED: May 15, 2008. CASE SUMMARY: Claimant alleged breach of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, inc. f/k/a Salomon Smith Barney. Inc. (Claimant) vs. Harry Virunurm (Respondent) Case Number: 07-02448 Hearina Site: Philadelphia, Pennsylvania 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": Kenneth O'Connor,