FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01259 Gary Nanos, ("Claimant") vs. Fklelity Brokerage Sendees LLC, ("Respondent") ATTORNEYS: For Claimant appeared pro se For Respondent appeared in-house counsel Paula M. McManus, ESQ., Boston, MA. NATURE OF DiSPUTE: Customer vs. Member DATE FILED: April 21. 2008 CASE SUMMARY: Claimant alleged that Respondent charged fees in error to his account. Claimant further alleged misrepres

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01406 Citigroup Global Markets, inc. d/b/a Smith Barney Inc., ("Cteimant") vs. Steven Martini, ("Kespondenf) ATTORNEYS; For Claimant appeared trin A. Kowin, Esq., of the firm Lubiner & Schmidt. LLC. Cranford, NJ. Respondent appei^red pro so, Delran, NJ. NATURE OF DISPUTF: Member v. Associated Person DATFRLEnMay2, iiOOO CASE SUMMARY: Claimant alleged that Respondent breached a c

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: James N. Apostle, CPA (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number: 07-03603 Hearing Site: Newark, New Jersey Nature of {neTSIspuIe: Non-iviemoer vs. iviemoer. REPRESENTATION OF PARTIES Claimant James N. Apostle. CPA hereinafter referred to as "Claimant": Mark J. Astarita, Esq., Beam & Astarrta, LLC, Verona, NJ. Respondent UBS Financial Sen/ices, Inc., he

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00747 Kevin T. McNamara ("Claimant") vs. Michael Scott Jacobs and Alan Lawrence Jacobs ("Respondents") ATTORNEYS: Claimant appeared Pro se, Weston, CT. Respondents appeared Pro se, Boca Raton, FL. NATURE OF DISPUTE: Associated Person vs. Associated Person DATE FILED: March 14. 2008 CASE SUMMARY: Claimant alleged that he is owed salary for the period February 1, 2008 through and

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01249 Brendan S. Cooney ("Claimant") vs. BGC Financial, L.P. ("Respondent") ATTORNEYS: For Claimant appeared Sean R. Kelly, Esq., Kraus & Zuchlewski, LLP, New York, NY. For Respondent appeared In-house Counsel, Andrew M. Kofsky, Esq., New York, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: April 23, 2008 CASE SUMMARY: Claimant alleged that Respondent violated New York

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02275 Calvin MehuFon, ("Claimant") vs. Charles Schwab & Co., Inc., ("Respondent") ATTORNEYS: For Claimant appeared William B. Young, Jr., Esq., of the firm Coting Gilbert Wright & Carter, Orlando, FL. For Res|»>ndent appeared Evelyn A. Christensen, Esq., of the fimn Keesal, Young & Logan, San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 2, 2008 CASE SU

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01853 Morton & Edith Kimmel Rev. Living Trust, Morton Kimmel & Edith Kimmel, Trustees ("Claimant") vs. Kenneth Saunders and Investors Capital Corp. ("Respondents") ATTORNEYS: For Claimant appeared Morton Kimmel, Delray Beach, FL. For Respondents appeared James A. McGovern, Esq., Marshall, Dennehey, Warner, Coleman & Goggin, P.C. Pittsburgh, PA. NATURE OF DISPUTE: Customer v. Member and

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants: Case Number: 08-00040 Cecilia Greenberg Milton Greenberg Names of the Respondents: Hearing Site: Boca Raton, Florida Jefferson Pilot Securities Corporation Patrick Stevenson Gaines Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cecilia Greenberg and Milton Greenberg, hereinafter collecti

Award FINRA Dispute Resolution In the Matter of the Art3itration Between: Name of the Claimant Case Number 08-01936 Dale Edward Wright Name of the Respondent Hearino Site: Richmond, VA Joan G. Eades Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Dale Edward Wright, hereinafter referred to as "Claimant": Geny Kowalski, Esq.. Marshall, Dennehey. Warner, Coleman, & Goggin, Philadelphia, PA. Respondent Joan

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jack Ommert vs. Names of Respondents Raymond James Financial Services, Inc., Rydex Distributors, Inc., and Eric L. Jansson and Name of Third-Partv Claimant Raymond James Financial Services, Inc. vs. Names of Third-Partv Respondents JFB Planning Services, Inc. and James F. Bottoms, Sr. Case Number: 08-00060 Hearing Site: Detroit, Mich