Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Janney Montgomery Scott, LLC (Claimant) vs. Jonathan Wayne Barkman (Respondent) Case Number: 07-02087 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Janney Montgomery Scott, LLC, hereinafter referred to as "Claimant": Carrie L. Cheiko, Esq., Janney Montgomery Scott, LLC, Philadelphia, PA. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Daniel H. Morris (Claimant) vs. Aurora Capital LLC and Jeff E. Margolis (Respondents) Case Number: 0;'-01269 Hearina Site: New York. New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Daniel H. Morris hereinafter referred lo as "Claimant": Steven B. Caruso. Esq., Maddox Hargett & Caruso, P.C, New York, NY. Resp

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02342 Comprehensive Wealth Management L.L.C. ("Claimant/Counterclaim Respondent") vs. Mark Lindberg and Dailene Ljndberg. ("Respondents/Counterclaim Claimants") ATTORNEYS: For Claimant/Counterclaim Respondent appeared Kent Mlllikan, Esq. of the finn Deno, Millikan, Dale. Decker & Petersen PLLC, Everett, WA. Respondents/Counterclaim Claimants appeared pro se. Edmonds, WA. NATURE OF DISP

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert V. Troy, Executor for the Estate of Eleanor Daly Troy (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc., and Patrick Christopher Taylor (Respondents) Case Number: 06-03827 Hearing Site: New York, New Yori^ Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert V. Troy, Executor for the Estate of Eleanor Daly Troy he

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Angelo Pisani and Benedetta Pisani (Claimants) vs. Capital Growth Financial, LLC (Respondent) vs. Steven Bernstein and Ari Elfenbein (Third-Party Respondents) Case Number: 06-01289 Hearing Site: New York. New York Nature of the Dispute Initial Claim: Customers vs. Member. Nature of the Dispute Third-Party Claim: Member vs. and Associated Persons. REPRESENTATION OF PARTIES Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Benjamin Thomas (Claimant) vs. Shattuck Hammond Partners, LLC and Vinton Rollins (Respcndents) Case Number: 07-00300 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Benjamin Thomas ("Claimant"): M. Alexis Pollock, Esq., Dreier LLP, New York, NY. Respondents Shattuck Hammond Partne

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary C. Schilling vs. Case Number: 07-01148 Hearing Site: Chicago, Illinois Name of Respondent Morgan Stanley DW, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Mary C. Schilling ("Claimant") was represented by Richard B. Fosher, Esq., SimmonsCooper, LLC, East Alton, Illinois. Morgan Stanley DW, Inc. ("Respondent")

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants The Billie Kandel Levine Trust #2 Jeffrey Kandel Names of the Respondents Kaplan & Co., Securities, Inc. Bear, Stearns & Co., Inc. Jed Kaplan Name of the Third Partv Respondent Louise Harrison Case Number: 05-00757 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person vs. Associat

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00520 George W. Eiland Calvin Smith Errell Glen Heflin Roger K. Lunsford Names of the Respondents Hearing Site: Columbia, South Carolina RBC Dain Rauscher, Inc. Nations Financial Group, Inc. Thomas Leechin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES George W. Eiland ("Eila

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04110 Wilbert Battle Anna M. Anderson Delie Anthony Ellis Beasley Ruth Boone Eddie Cooper Mamie Cooper Linda Eley Excell Finch Alma Finch Deborah W. Gaines William Henry Gray, Jr. Lille H. Greene William Harrell, Jr. Samuel Harrell Rita Harris Mary B. Henderson Mary Hines Odell Knight