Award FINRA Dispute Resolution in the IVIatter of the Arbitration Between: Charies Schwab & Co.. Inc. (Ciaimant) vs. Scott Karpiai< and RBC Dain Rauscher inc. (Respondents) Case Number: 06-04100 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Charies Schwab & Company, inc.. ('Charies Schwab") hereinafter referred to as "Ciaimant": Michael R. Greco. Esq., and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc.. f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Richard D. Smithson (Respondent) Case Number: 07-02449 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc.. f/k/a Salomon Smith Barney, Inc., hereinafter referred to as "Claimant": Kenneth O'C

Award FINRA Dispute RMolution In the Matter of the Arbitration Bi^twean: Name of Ciaimant Jordan Alan, Administrator of the Estate of Beth Suaan Schfmmei a/l^a Beth Lobel Case Number: 06-02056 Name of Respondents Hearing Site: Los Angeles, California Interflrst Capital Corporation f/k/a Baraban Securities, First Allied Securities, Inc.. UBS PaineWebber, Inc. f/lc/a PaineWebber, Inc.. Correspondent Services Corporiitlon, Bradf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02485 Raymond D. Curtin Name of the Respondent Hearing Site: Ft. Lauderdale, Florida Wachovia Securities, LLC Nature of the Dispute: Associated Person vs. I\^ember. REPRESENTATION OF PARTIES For Raymond D. Curtin, hereinafter referred to as "Claimant": Robert C. Stoi^es, ill, Esq., Robert C. Stokes, P.A., Tampa, Florida. For Wachovia

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ryan Beci< & Co., Inc. (Claimant) vs. Arthur Ogbogu (Respondent) Case Number: 07-01135 IHearing Site: New Yori^. New Yori^ Nature oT tne Dispute: iviemoer vs. Associaieo r^erson. REPRESENTATION OF PARTIES Claimant Ryan Becl( & Co., Inc., hereinafter referred to as "Claimant": Jeffrey C. Primiano, Esq., Stiefel Nicolaus, Florham Parte, NJ. Previously represented by Jeffrey C. Pr

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Amy Levenson (Claimant) vs. Barclays Capital, Inc.. Barclays Bani^ PLC, and Barclays PLC (Respondents) Case Number: 07-02165 Hearing Site: New Yori^, New York Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Amy Levenson hereinafter referred to as "Ciaimant": Anne C. Vladeck. Esq., Vladeck, Waldman. Bias & Engelhard. P.C. N

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Lisa Cavaiiere (Claimant) vs. i^organ Stanley Dean Witter, Inc. (Respondent) Case Number: 07-03047 Hearing Site: New York, New York Nature of the Dispute: Customer vs. IVIember. REPRESENTATION OF PARTIES Ciaimant Lisa Cavaiiere hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway, New Yorl^, NY. Respondent Morgan Stanley Dean Witter, Inc., hereinafter r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03094 Samuel Cole dba csafinancials.com Name of the Respondent Hearing Site: Nashville, Tennessee interactive Brokers, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Samuel Cole dba csafinancials.com, hereinafter referred to as "Claimant": appeared pro se. For Interactive Brokers, LLC, hereinafter referred

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 07-03612 Adol Theo Owen-Williams, Jr. Name of the Respondent Hearino Site: Washington, DC BB&T Investment Services. Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Adol Theo Owen-Williams. Jr. ("Owen-Williams"), hereinafter referred to as "Claimant": James F. Shalleck, Esq., Montgomery Village, Maryla

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02877 Royal Alliance Associates, Inc. Name of the Respondent Hearing Site: Richmond, VA Scott Ryan Tischler Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Royal Alliance Associates, inc. ("RAA"), hereinafter referred to as "Claimant": Martin Q. Ryan. Esq., Baugh, Carison & Ryan LLC, Chicago, IL. Fo