Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard B. Barnes and Lucy B. Barnes (Claimants) v. Summit Equities, Inc. (Respondent) Case Number: 06-03753 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Richard B. Barnes ("R. Barnes") and Lucy B. Barnes ("L. Barnes") hereinafter collectively referred to as "Claimants": Devanshu L. Modi, Esq., Lyon, Glassman,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04849 Madron Wilson Ruth Attaway Donna Wilson Tim Wilson Rick Wilson Lavonia Trimble Names of the Respondents Hearina Site: Birmingham, Alabama Benson York Group, Inc. Robert Joseph Marcus, Jr. Kevin Patrick Brennan John Joseph Conroy Gary P. Demetri Bradford Alan Miller Nature of the Dispute: Customer vs. M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01618 Wachovia Securities, LLC Name of the Respondent Hearing Site: Raleigh, NC Roderick L. Brown Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC ("Wachovia"), hereinafter referred to as "Claimant": Ryan P. Smith, Esq., Wachovia, Richmond, VA. Roderick L. Brown ("Brown"), he

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03335 Joseph McDonald, Jr. Names of the Respondents Hearing Site: New Orleans, Louisiana A. G. Edwards & Sons, Inc. Scott Edward Foreman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph McDonald, Jr., hereinafter referred to as "Claimant": George F. Reiss, Esq., Law Offices of Geo

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03425 Shoji Takahashi, ("Claimant") vs. Firstrade Securities Inc., ("Respondent") ATTORNEYS: ••~" ' ~~" Claimant appeared pro se. La Canada Fllntridge, CA. For Respondent appeared in-house counsel Peter Gschweng, VP, DOC, Flushing, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 28,2007 CASE SUMMARY: Claimant alleged that Respondent failed to transfer funds in a timely

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03200 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC ("Claimant") v. Kevin Browne ("Respondent") ATTORNEYS: For Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY Respondent Kevin Browne appeared pro se, Howard Beach, NY

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03095 Bruno Cimaglia ("Claimant") vs. E*Trade Securities, LLC ("Respondent") ATTORNEYS: Claimant Bruno Cimaglia appeared pro se, Jackson Heights, NY. For Respondent E*Trade Securities, LLC appeared in-house counsel, John Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 2, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to execute hi

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02930 William Kling, ("Claimant") vs. TD Ameritrade, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Huntsville, AL. For Respondent appeared in-house counsel Kelly R. Davis, Esq., Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 15, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to execute a BUY TO COVER order. Claimant maintained that due

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04674 Concetta DiMare Names of the Respondents Hearing Site: Boca Raton, Florida Conseco Equity Sales, Inc. Inviva Securities Corporation Rafael Golan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Concetta DiMare, hereinafter referred to as "Claimant": Lonnie K. Martens, Esq., The Mar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-03145 Highlands Investment Trading, Ltd. Roberto J. Erusalimsky Names of the Respondents Hearino Site: Boca Raton, Florida HSBC Securities (U.S.A.) Inc. HSBC Brokerage (U.S.A.) Inc. HSBC Bank U.S.A., N.A., a/k/a HSBC Private Bank, f/k/a HSBC Republic Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATiON OF P