Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Darlene Vietri, IRA (Ciaimant) v. Maximum Financial Investment Group, Inc., and Louis John Liberatore, Sr. (Respondents) Case Number: 07-03437 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ciaimant Darlene Vietri, IRA ("Claimant"): John E. Lawlor, Esq.. Law Offices of John E. Lawlor, Mineola, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Roxanne IVIarie Braoker (Ciaimant) vs. JPI\4Si n/l< /a J.P. l\^organ Securities. Inc. (Respondent) Case Number: 06-05309 Hearing Site: Buffalo. New York consolidated with Roxanne Marie Brooker (Claimant) vs. Anne M. Saeva, Chase Investment Services Corp., J.P. Morgan ChaseBank, N.A.. J.P. Morgan Chase & Co., Banc One Capital Holdings LLC. JPMSI n/k/a J.P. Morgan Securities. Inc.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lany D. Anderson vs. Case Number: 07-03291 Hearing Site: Minneapolis, Minnesota Name of Respondent GunnAllen Financial, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Lany D. Anderson ("Claimant") appeared pro se. Respondent, GunnAllen Financial, Inc. ("Respondent") was represented by Jay Marc Israel, Esq., Lindenhu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas B. Holmes (Claimant) vs. Susquehanna Financial Group. LLP (Respondent) Case Number: 07-03593 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Thomas B. Holmes, hereinafter referred to as "Claimant": Kevin T. Hoffman, Esq., Law Offices of Kevin T. Hoffman, Greenwich, CT. Respondent Susquehanna

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: William Featherston and Robert H. Grimm (Claimants) vs. CBA Securities, LLC (Respondent) Case Number: 06-04719 Hearina Site: Hartford, Connecticut Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants William Featherston ("Featherston") and Robert H. Grimm ("Grimm"), hereinafter collectively referred to as "Claimants" appeared pro se. Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 07-03087 Ruimin Chen and Li Pan, JTWROS Name of the Respondent Hearing Site: Raleigh. NC Interactive Brokers LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ruimin Chen and Li Pan. JTWROS, hereinafter collectively referred to as Xlaimants": Li Pan, Raleigh. NC. For Interactive Brokers LLC ("IB"), hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCiaimant Case Number: 08-00107 Harold Wallace Trust Name of the Respondent Hearing Site: Ft. Lauderdale, Florida E'Trade Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For the Harold Wallace Tnjst, hereinafter referred to as "Ciaimanf: Neil T. Wallace, Esq., Williamsburg, Virginia. For E*Trade Securities, LLC, hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00666 Newbridge Securities Corp)oration Name of the Respondent Hearino Site: Miami, Florida Felipe N. Arrieta Nature of the Dispute: Member vs. Associated Pereon. REPRESENTATION OF PARTIES Newbridge Securities Corporation, hereinafter refened to as "Claimant": Michael S. Columbo, StreefWide Asset Recovery Group, Inc., Lyndenhurst New Jer

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 07-03389 Raymond James and Associates, Inc. Name of the Respondent Hearino Site: Tampa, Florida David W. Riggleman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James and Associates, Inc., hereinafter referred to as "Claimant": Kelli Bullington, Esq., Assistant Vice President and Assistant Corpo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Chatsworth Securities LLC (Claimant) vs. The GMS Group, LLC (Respondent) Case Number: 07-00922 Hearino Site: Harti'ord, Connecticut Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Chatsworth Securities LLC hereinafter referred to as "Claimant": Kevin T. Hoffman, Esq., Law Offices Kevin Thomas Hoffman, Greenwich, CT. Respondent The GMS Group, LLC her