Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Antonio Benedi (Claimant) v. Milestone Group Management. LLC, Paul J. Casella, Vincent Michael Mitchell. Jorge Naval, Pablo Guerrero, and Rohan Bedi (Respondents) Case Number: 05-00756 Hearing Site: New York. New York Nature or the Dispute: uustomer vs. iviemoer ana Associaieo rersons. REPRESENTATiON OF PARTIES Claimant Antonio Benedi hereinafter referred to as "Claimant" appeared

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Barbara Lerner (Claimant) vs. Citigroup Global Markets. Inc. f/k/a Smith Barney and Salomon Smith Barney (Respondent) Case Number: 06-04200 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Barbara Lerner hereinafter referred to as "Claimant": Lisa Catalano, Esq., St. John's University School of Law, Securities Arbit

FINRA DISPUTE RESOLUTION AWARD r INRA DISPUTE RESOLUTION CASE: 08-00134 Sliampan Lamport, LLC d/b/a National Securities Corp., ("Claimant") vs. Stephen Renaud, ("Respondent") ATTORNEYS: For Claimant appeared Michael S. Colombo, CEO of StreetWide Asset Recovery Group. Inc., Lyndhurst, NJ. Respondent appeared pro se, Darien, CT. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 11. 2008 CASE SUMMARY: Claimant alleged that Resp

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: EKN Financial Services, Inc. (Claimant) vs. Andrew Grant (Respondent) Case Number: 07-02018 Hearing Site: New York, New York nadf^Ttne uisputenClefnBer vs. Associaiec rerson. REPRESENTATION OF PARTIES Claimant EKN Financial Services, Inc. hereinafter referred to as "Claimant": Robert M. Bursky, Esq., Woodbury, NY. Respondent Andrew Grant hereinafter referred to as "Respondent"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cheryl Symmes (Claimant) vs. Goldman. Sachs & Co. and Todd Edward Silaika (Respondents) Case Number: 06-05247 Hearino Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Cheryl Symmes hereinafter referred to as "Claimant": Mark Thomas Sophocles. Esq., Paoli, PA. Respondents Goldman, Sachs & Co. ("Gold

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00617 EKN Financial Services, Inc. ("Claimant") v. Ahmad (Kevin) Wares ("Respondent") ATTORNEYS: For Claimant appeared Richard R. Borgner, EKN Financial Services, Inc., Woodbury, NY. Respondent appeared Pro se, Bayshore, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 4. 2008 CASE SUMMARY: Claimant alleged that Respondent breach his agreement and refused to

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stifel, Nicholas & Company, inc. vs. Case Number: 07-02585 Hearing Site: Minneapoiis, Minnesota Names of Respondents RBC Dain Rauscher, inc., James A. Bjomlie, and Andrew James Bjomiie MATURE OF THE DISPUTE Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Stifel, Nicholas & Company, inc. ("Claimant" or "Stifel") was represe

Award FINRA Dispute Resolution In the Matter of the ArbltiBtion Between: Claimante Case Number: 07-02796 Jean Cooling Brown and George Brown Respondente Hearing Site: Dallas, Texas Edward D. Jones, LLP and Stephen Steele Westphal Nature of the Dispute: Customere vs. Member and Associated Person REPRESENTATION OF PARTIES Claimante, Jean Dooling Brown and George Brown, hereinafter collectively referred to as "Claimants": H. Dale Langley, Jr.,

Award FINRA Dispute ResoltJtion In tiie Matter of the Art)ltratton Between: Claimant Case Number. 07-03120 An'ite R. Wood Respondente Hearino Site: San Diego, Califomia ING Financial Partnere, Inc. Lance A. Pelky ivteture of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Anite R. Wood, hereinafter referred to aa "CtaimanT: Arthur S. Leider. investora Ari3itration Speciallste, San Diego, CaiHbmia

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number 08-01082 Oppenheimer& Co.. Inc. Respondent Hearing Site: San Francisco, California Peter Brown Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": Mitchell J. Albert, Esq., Albert & Will, Torrance. Califomia Respondent. Peter Brown, hereinafter referr