FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02986 James Bynum ("Claimant") vs. Investors Capital Corporation and Joseph Lionel Jones ("Respondents") ATTORNEYS: Claimant James Bynum appeared pro se, Long Island City, NY. For Respondent Investors Capital Corporation appeared James A. McGovern, Esq., Marshall, Dennehey, Warner, Coleman, Pittsburgh, PA. Respondent Joseph Lionel Jones did not submit an Answer to the Statement of Clai

AWARD FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of Claimant William G. Katz vs. Case Number: 06-02827 Hearing Site: Cleveland, Ohio Name of Respondent Citigroup Global Markets, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES William G. Katz ("Claimant" or "Katz") was represented by Dale Ledbetter, Esq.. Ledbetter & Associates, PA, Fort Lauderdale. Florida. On or about April 16, 20

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jordan P. Gates, Claimant vs. Veravest Investments, Inc., Veravest Investment Advisors, Inc., Allmerica Financial Corporation, Allmerica Investment Management Co., Allmerica Financial Life Ins & Annuity, and Michael Robert Burgoyne, Respondents Case Number: 03-08688 Hearina Site: Portland, Oregon Nature of the Dispute: Associated Person vs. Member and Non-members REPRESENTATION OF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Margaret C. Toruno Name of the Respondents Associated Securities Corp. Alliance Advisory & Securities, Inc. Case Number: 07-01889 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES Claimant, Margaret C. Toruno, hereinafter referred to as "Claimant": Richard B. Fosher, Esq., SimmonsCoope

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-02000 Duncan 3. McCandiess Respondents Hearina Site: San Francisco, California D. Vernon Willis, Associated Securities Corp. Nationwide Life Insurance Co. Security Benefit Life Ins. Co. Nature of the Dispute: Customer vs. Member, Associated Person and Non-Members REPRESENTATION OF PARTIES Claimant, Duncan McCandiess hereinafter referred to a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John G. and Marcia Y. Wang, Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Yuchia Lin, Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Yuchia Lin, Counter-Claimants v. John G. and Marcia Y. Wang, Counter-Respondents Case Number: 06-02011 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person Member an

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-01447 William Buechler Respondents Hearina Site: San Diego, California Wachovia Securities, LLC Wachovia Corporation Nature of the Dispute: Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant, William Buechler, hereinafter referred to as "Claimant": Brian Miller, Esq. and Brad Milove, Esq., Miller & Milove, La Jolla, C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Benjamin P. Abney, Larry Don Henry, Daryl Woodward, Trustee of the Daryl James Woodward 1995 Revocable Trust, and Stephen J. Heyman vs. Case Number: 07-00979 Hearing Site: Oklahoma, City, Oklahoma Name of Respondent Sanders Morris Harris, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Benjamin P. Abney, Larry

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jorge Gonzales (Claimant) vs. McLaughlin. Piven, Vogel Securities, Inc. (Respondent) Case Number: 08-00054 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Jorge Gonzales hereinafter referred to as "Claimant" appeared pro se. Respondent McLaughlin, Piven, Vogel Securities, Inc., hereinafter referred to as "Responden

FINRA DISPUTE RESOLUTION AWARD FrNRA DISPUTE RESOLUTION CASE: 07-03201 Citigroup Global Markets, Inc. ("Claimant") v. Barry Brinster ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. Respondent Barry Brinster did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Claimant alleged a loss in