Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02054 Amy S. Feng Name of the Respondent Hearing Site: San Francisco, California JMP Securities LLC Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant, Amy S. Feng, hereinafter referred to as "Claimant": Thomas E. Duckworth, Esq., Duckworth, Peters & Lebowitz, LLP, San Francisco, California Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02304 RBC Dain Rauscher, Inc. Name of the Respondent Hearing Site: Los Angeles, California Gregory Iglow Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, RBC Dain Rauscher, Inc., hereinafter referred to as "Claimant": David H.S. Commins, Esq., Commins & Webster, P.C, San Francisco, California Res

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 06-04950 Kyoko Kusaba, Raye Shibasaki, Eugh Shibasaki, Jr., and Junko Shibasaki, individually and as Trustee of the Shibasaki Family Trust dated 4/12/91 Name of the Respondents Hearing Site: Los Angeles, California LPL Financial Services a/k/a Linsco/Private Ledger Corp., W.S. Griffith Securities & Co., Inc. a/k/a WS Griffith Securities, Inc., New

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Patricia Ann Pearson (Claimant) vs. Salomon Smith Barney, Michael Passeroff, William Dodge, and Bari^ara Ahern (Respondents) Case Number: 07-00489 Hearina Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Patricia Ann Pearson ("Claimant") appeared pro se. Respondents Salomon Smith Barney ("Smith Barney

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02661 Avalon Partners, Inc. ("Claimant") v. Tyre F. Newsome ("Respondent") ATTORNEYS: For Claimant Avalon Partners, Inc. appeared Richard J. Babnick, Jr., Esq., of the law firm of Sichenzia, Ross, Friedman, Ference, LLP, New York, NY Respondent Tyre F. Newsome appeared pro se. Queens, NY NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 17, 2007 CASE SUMMARY: Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: GunnAllen Financial, Inc. (Claimant) vs. Andrew Tressler (Respondent) Case Number: 07-01980 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant GunnAllen Financial, Inc., hereinafter referred to as "Claimant": Jay Marc Israel, Esq., GunnAllen Financial, Inc., Lindenhurst, NY. Previously represented by Michael

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fatima Belaid (Claimant) vs. Jeffrey Halpert and The Jeffrey Matthews Financial Group, LLC (Respondents) Case Number: 07-00168 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Fatima Belaid ("Claimant"): Kevin P. Conway, Esq., Conway & Conway, New York, NY. Respondents Jeffrey Halpert ("Hal

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01100 The Shorr Family Trust Names of the Respondents Hearing Site: Chariotte, North Carolina A.G. Edwards & Sons, Inc. Terry Dean Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For The Shorr Family Trust (the "Trust"), hereinafter referred to as "Claimant": Ronald W. Karolyi, Esq., Ronald

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01583 Harold Frank Davis IRA Sarah N. Davis and Harold F. Davis, Tmstees, Davis Family Trust Names of the Respondents Hearing Site: Chariotte, North Carolina Hayes Howell Burieson, Jr. A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Harold Frank Davis IRA ("H

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant H&R Block Financial Advisors, Inc. vs. Name of Respondent Glenn Dzidowski Case Number: 07-02138 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Member vs. Customer REPRESENTATION OF PARTIES H&R Block Financial Advisors, Inc. ("Claimant") was represented by Edward A. Walton, Esq., H&R Block Financial Advisors, Inc., Detroit, Michigan.