Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Melle (Claimant) vs. MBSC Securities Corporation d/b/a Dreyfus Service Corporation (Respondent) Case Number: 07-03632 Hearing Site: New York, New York Nature ot the Dispute: Associatea Kerson vs. Memoer. REPRESENTATION OF PARTIES Claimant Robert Melle hereinafter referred to as "Claimant": Martin P. Unger, Esq., Certilman Balin Adier & Hyman, LLP, East Meadow, NY. Re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants: Case Number: 07-01778 Citigroup Global Markets Holdings, Inc. Citigroup Global Markets, Inc. d/b/a Smith Barney Respondent: Hearing Site: Houston, Texas Ernest P. Elam Nature of the Dispute: Non-Member and Member v. Associated Person REPRESENTATION OF PARTIES Claimants, Citigroup Global Markets Holdings, Inc. ("Holdings") and Citigroup Global Markets, Inc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 06-04535 Randy R. Bick, Individually and as Trustee of the Bick Family Trust Name of the Respondent Hearing Site: Los Angeles, California Citigroup Global Markets Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Randy R. Bick, Individually and as Trustee of the Bick Family Trust, hereinafter collect

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 05-03614 Capital Investment Group, Inc. Name of the Respondent Hearing Site: Raleigh. North Carolina Mari( D. Kyle Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Capital Investment Group, Inc., hereinafter refenred to as "Claimant": J. Anthony Penry, Esq., Taylor, Penry, Rash, Riemann, PLLC, Raleigh, Nor

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02940 Don Chaifez ("Claimant") vs. E*Trade Securities, LLC ("Respondent") ATTORNEYS: ~~~ Claimant appeared Pro se, Floral Park, NY. For Respondent appeared in-house counsel. John Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Customer v. Member ~ DATE FILED: October 13. 2007 CASE SUMMARY: Claimant alleged that his order was executed incorrectly which resulted in a loss. Claimant's

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fran Brunwasser (Claimant) vs. Rushmore Capital, Inc., f/k/a HMS Securities, Inc., a/k/a Domestic Securities, Inc., and Eric Weisblum, a/k/a Eric Hillel Weisblum (Respondents) Case Number: 07-01353 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Association Person. REPRESENTATION OF PARTIES Claimant Fran Brunwasser hereinafter referred to as "Cla

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 07-02466 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Baltimore, Maryland Joseph J. Sherrick Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Diane C. Fischer. Esq. and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00205 Alan Neil Greenspan Name of the Respondent Hearinc Site: Boca Raton, Florida Zions Direct, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Alan Neil Greenspan, hereinafter referred to as "Claimant", appeared pro se. For Zions Direct, inc. ("Zions"), hereinafter referred to as "Respondent": Angelina Tsu,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David W. Levy (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 05-05320 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant David W. Levy hereinafter referred to as "Claimant": David B. Bernfeld, Esq.. Bernfeld, DeMatteo, & Bernfeld, LLP, New York, NY. Respondent Citigroup Global Markets

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Pointe Capital, Inc. (Claimant) vs. Kurt Yasin Muller (Respondent) Case Number: 08-00147 Hearing Site: New York, New York Nature or tne uispute: Memoer vs. Associated person. REPRESENTATION OF PARTIES Claimant Pointe Capital, Inc., hereinafter referred to as "Claimant": Daniel R. Levene, Pointe Capital, Inc., Boca Raton, FL. Respondent Kurt Yasin Muller hereinafter referred to