FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01952 Dr. Sava Lukac. {"Claimant") vs. Citigroup Global Marl< ets, Inc. and Marion Frederick Travis. ("Respondents") ATTORNEYS: Claimant appeared pro se. Southampton. PA. For Respondents appeared in-house counsel Douglas B. Appel, Esq.. New York. NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 16. 2008 CASE SUMMARY: Claimant alleged that Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Craig B. Jampol (Claimant) vs. W.R. Hambrecht. LLC (Respondent) Case Number: 08-00904 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Craig B. Jampol hereinafter referred to as "Claimant": Sean R. Kelly, Esq., Kraus & Zuchiewski LLP, New York, NY. Respondent W.R. Hambrecht, LLC. Inc. hereinafter referred t

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-03606 Reynolds Ospina Respondent Hearing Site: San Francisco, California Instinet. LLC Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Reynolds Ospina hereinafter refemed to as "Claimant": Thomas E. Duckworth, Esq., Duckworth, Peters & Lebowitz, LLP, San Francisco, Califbmia. Respondent. Instinet. LLC, here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants IHarttord Fire Insurance Co., Inc. Individually and on behalf of Patricia Dutton as conservator of the Estate of Tranquilino Ryan Ventura Names of the Respondents Edward Jones, Inc. Robert Decker Morgan Stanley Dean Witter, Inc. Hunter Bowen Case Number: 07-01803 (Consolidated with 07-01845) Hearing Site: Birmingham, Alabama In

Award FINRA Dispute Resolution In the Matter of the Art}itratlon Between: Claimant Case Number: 07-03106 Anthony 5. Lowenstein Respondents Hearing Site: San Francisco, Califomla The Shemano Group, Inc. William A. Silva Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Anthony S. Lowenstein, hereinafter refened to as "Claimant": Albert L. Boasberg, Esq., Attorney at Law, San Francisco, Califo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number. 07-03470 Daniel Huriey Name of the Respondents: Hearing Site: San Diego, Califbmia Northeast Securities, Inc. Marie J. Moskowitz Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Daniel Huriey: Paul W. Thomas, Esq., Thomas & Atale. L.L.P., Cartsbad, California Respondent Northeast Securi

Award FINRA Dispute Resolution In the Matter of the Ari^itratbn Between: Name of the Claimant Case Number 07-01144 Judith Fogei Name of the Respondents: Hearing Site: Los Angeles, Califbmia Marc L. Tucker Financial West Group, Inc. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Judith Fogel hereinafter referred to as "ClaimanT: Joseph S. Fogel, Esq., Fogei & Associates, Sherman Oaks, Calif

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 08-00973 Sun Li Name of the Respondent: Hearinc Site: San Francisco, Califbmia Jeff Clark Nature of the Dispute: Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimant Sun Li hereinafter referred to as "Claimanf: Robert M. Lubin, Esq., Law Office of Robert M. Lubin, San Mateo, Califbmia Respondent Jeff Claris herein

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Shirley Hurd and Shirley H. Hurd Family Tnjst vs. Case Number: 07-02572 Hearing Site: Omaha, Nebraska Names of Respondents Citigroup Global Markets, Inc., Teri R. Wilson, and Terrence T. Devlin NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Shirley Hurd and Shirley H. IHurd Family Trust (

FINRA DISPLTL RESOIATION .\WARI) FINRA DISPUTE RESOLUTION CASE: 08-01062 Avalon Partners, Inc. ("Claimant"} vs. Edgar Olmeda ("Respondent") ATTORNEYS: For Claimant appeared Jonathan Kurta, Esq., Sichenzia, Ross, Friedman & Ference, LLP, New York, NY. Respondent Edgar Olmeda did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: AprlMO. 2008 CASE SUMMARY: Claimant alleged that Respondent br