Award FINRA Dispute Resolution In the Matter of the Artaitration BebA/een: Name of the Claimant Case Number: 07-03103 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Oriando, FL Charies Ray Hill Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc. ("BAl"). hereinafter referred to as "Claimant": Gregory B. Simon, Esq., Kane & Fischer, Lto.. Chic

Award FINRA DIapute Resolution In the Matter of the Artsltratlon Between: Name of the Claimant Lany Greg Fullmer Case Number 06-04971 Name of the Respondent Hearing Site: Los Angeles. California Goldman Sachs & Company Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Larry Greg Fullmer: Rogge Dunne, Esq.. Clouse Dunn Khoshbin, LLP, Dallas, Texas Respondent, Goldman Sachs & Company, Robin D. Fessel, Esq.

Award FINRA Dispute Resolution In the Matter of the AriDltratlon Between: Name of the Claimant Case Number: 07-02763 Thomas A. Payant Names of the Respondents Hearina Site: Tampa, Florida Raymond James Financial Services, Inc. Richard G. Averltt. Ill Nature of the Dispute: Associated Person vs. Member and Associated Person. For Thomas A. Payant, hereinafter referred to as "Claimant": Scott Silver, Esq., Blum 8i Silver, LLP, Coral Springs, Florid

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Gwen Snorteland (Claimant) vs. Mizuho Securities USA, Inc. (Respondent) Case Number: 08-01376 Hearina Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Gwen Snorteland hereinafter referred to as "Claimant": Howard I. Elman, Esq., Matalon & Shweky P.C, New Yori< , NY. Respondent Mizuho Securities USA, Inc., hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James Buglisi (Claimant) vs. Lewis J. Franklin (Respondent) Case Number: 07-01435 Hearina Site: New Yorl< , New Yori< Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant James Buglisi hereinafter referred to as "Claimant": Raji Kocchar, Esq., McConnick & O'Brien, LLP, New York, New York. Respondent Lewis J. Franklin did not enter an

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Abdallah Abdallah (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Citigroup Global Markets, Inc., Salomon Brothers, Inc., f/k/a Salomon Smith Barney, Inc., and Edward Michael Skarbnik (Respondents) Case Number: 05-00842 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Abdallah

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kayvan Karoon (Claimant) vs. First Montauk Securities Corp. (Respondent) Case Number: 07-02690 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Kayvan Karoon hereinafter referred to as "Claimant": George Brunelle. Esq.. Brunelle & Hadjikow, P.C, New York. NY. Previously represented by Paul A. Lieberman, Esq

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01005 Stephen Harrison, Peter Helms and Exeter Financial LLC ("Claimants") vs. The Shemano Group, Inc. ("Respondent") ATTORNEYS: For Claimants appeared James K. Barbae. Esq.. Golbeck Roth, PLLC, Seattle, WA. For Respondent appeared Douglas Hale, San Francisco, CA. NATURE OF DISPUTE: Associated Persons and Customer v. Member DATE FILED: April 4, 2008 CASE SUMMARY: Claimants alleged

FINRA DISPl TK RESOLL'TIO.N AWARD FINRA DISPUTE RESOLUTION CASE: 08-00544 WestPark Capital, Inc. ("Claimant") vs. Chanse Keith Menendez. Sr. ("Respondent") ATTORNEYS: For Claimant appeared William A. Morgan, Los Angeles, CA. Respondent Chanse Keith Menendez, Sr., did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 20. 2008 CASE SUMMARY: Claimant alleged that Respondent owes exp

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01743 General Investments, Inc. Name of the Respondent Hearing Site: Tampa, Florida T.D. Ameritrade, Inc., a/k/a T.D. Waterhouse Investor Services, Inc. Nature of the Dispute: Customer vs. Member. For General Investments, Inc., hereinafter referred to as "Claimant": Thomas D. Jacl^son, President, General Investments, Inc., Panama City, F