Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jeffrey Hamilton and Alexia Hamilton (Claimants) vs. Continental Broker Dealer Corp., Timothy P. Higgins, Leonard M. Cusumana, Michael Clements, The Gregory M. Hasho Voting Trust, Gregory M. Hasho, individually and as sole beneficiary of the Gregory M. Hasho Voting Trust dated November 21, 1995, Lizy Elizabeth Chandy, and Dominick Bianco, NF Clearing Inc., f/k/a Fiserv Securities Inc.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lynn Bickert Coyle and Bently Partners, Inc. (Claimants) vs. McLaughlin, Piven, Vogel Securities, Inc., and Paul T. Marrone (Respondents) Case Number: 06-04087 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Lynn Bickert Coyle ("Coyle") and Bently Partners, Inc., ("Bently"), hereinafter collec

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Montanino (Claimant) vs. H & R Block Financial Advisors, Inc. (Respondent) Case Number: 06-01679 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Robert Montanino hereinafter referred to as "Claimant": Bruce D. Oakes, Esq., SimmonsCooper, LLC, East Alton, IL. Respondent H & R Block Financial Advisors, Inc., h

Award FINIRA Dispute Resolution In the Matter of the Arbitration Between: Claimant: Case Number: 06-05046 Steven B. Bickel Respondents: Hearing Site: Los Angeles, California A.G. Edwards & Sons, Inc. Robert W.Burns John James Humphrey Counterclaimants: A.G. Edwards & Sons, Inc. Robert W. Burns Counter-Respondent: Steven B. Bickel Nature of the Disputes: Customer vs. Member and Associated Person Member and Associated Person vs

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02314 Susan K. Key Name of the Respondent Hearina Site: Houston, Texas Financial Network Investment Corporation, ING Financial Advisors, LLC, Citigroup Global Markets, Inc., Debra Mae White Stephens, Thomas L. Howard, Larry T. Hill, Michael T. Hamlin, Ozzie R. Bauer, Amold Richard Riley, and Michael J. Handlin Nature o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 06-02734 Michael Waks Name of Respondents Hearing Site: Los Angeles, California Lehman Brothers, Inc. David Goodenough Melody Li Thomas Birk Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Michael Waks hereinafter referred to as "Claimanf: Michael L. Meeks, Esq., Pepper Hamilton

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 01-06400 Robert W. Tarrington Respondents Hearing Site: Los Angeles, California A.G. Edwards & Sons, Inc., John F. Lee, and Laurence M. Forsman Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Robert W. Tarrington, hereinafter referred to as "Claimant": Robert W. Tarrington, Pro Se, Mali

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gerry Kessler vs. Case Number: 08-00724 Hearing Site: St. Louis, Missouri Name of Respondent William Michael Cody NATURE OF THE DISPUTE Customer vs. Associated Person REPRESENTATION OF PARTIES Gerry Kessler ("Claimant") was represented by Howard W. Hirschhorn, CPA, Matawan, New Jersey. William Michael Cody ("Respondent") was represented by R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00457 Bruce Goldmacher Name of the Respondent Hearing Site: Boca Raton, Florida Scott & Stringfellow, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Bruce Goldmacher ("Goldmacher"), hereinafter referred to as "Claimant": Ronald M. Gache. Esq., Broad & Cassel. West Palm Beach, Florida. For Scot

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant IVIartin C. Cooper vs. Name of Respondent Securities Services Network, Inc. Case Number: 07-03155 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Martin C. Cooper ("Claimant") was represented by C. William Bair, Esq., Wagoner & Steinberg, Ltd., Holland, Ohio. Securities Sen/