Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Buriington Capital Markets, Inc. (Claimant) vs. GFI Group, Inc., GFI Securities, LLC, and Paul Basile (Respondents) Case Number: 04-05610 Hearing Site: New York. New York Nature of the Dispute: Member vs. Non-Member, Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Buriington Capital Markets, Inc., hereinafter referred to as "Claimant": Richard A. Roth, Esq., T

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Citigroup Global Markets, Inc. vs. Case Number: 07-02115 Hearing Site: Cincinnati, Ohio Name of Respondent / Counter-Claimant William J. Hamilton NATURE OF THE DISPUTE Member v. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant" or "Citigroup") was represented by Christopher J. Camey, Esq.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark Urich (Claimant) vs. Robert Lewin and Richard Lewin (Respondents) Case Number: 06-03481 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Mark Urich ("Claimant"): Debra G. Speyer, Esq., Law Office of Debra G. Speyer, Bala Cynwyd, PA. Previously represented by Morgan W. Bentley, Attorney at Law, Newar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04641 Stanley Stahl Stanley Stahl and Marie Stahl TTEE FBO Stanley Stahl Recoverable TR U/A 11/11/03 Names of the Respondents Hearing Site: Boca Raton, Florida Brookstreet Securities Corp. Robert Gest Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Stanley Stahl and Stanley Stahl

AWARD FINFIA Dispute Resoiution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02977 Rayna Brown Name of the Respondents Hearing Site: Los Angeles, California J.P. Morgan Securities Inc., PFG Distribution Company, and John A. Anderson, Jr. Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES Claimant, Rayna Brown, hereinafter referred to as "Claimant": Montgomery G. Griffin,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Thomas P. Matula Living Tmst Dated 12/14/05, Claimant v. Morgan Stanley DW Inc. and Chris Leonhard, Respondent Case Number. 06-04192 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: C. Darrell Sooy, Esq. TOBIN & TOBIN San Francisco, California For Respondents: Jeffrey F. Sil

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William Morris Jordan, Jr. (Claimant) vs. Gregory Serras and Vanguard Capital (Respondents) Case Number: 06-01622 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant William Norris Jordan, Jr., hereinafter referred to as "Claimant": Mary Kay Brown, Esq., Brown Stone Nimeroff, LLC,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02405 Leonard W. Krouner ("Claimant") vs. E*Trade Securities LLC ("Respondent") ATTORNEYS: Leonard W. Krouner ("Claimant") appeared pro se, San Diego, CA For E*Trade Securities LLC ("Respondent") appeared in-house counsel John Bersin, Esq., Roseville, CA NATURE OF DISPUTE: Customer v. Member DATE FILED: August 16, 2007 CASE SUMMARY: Claimant alleged that Respondent's failure to exe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05202 David Hubert Name of the Respondents Hearing Site: Los Angeles, California Bear, Stearns & Co. Inc. Donald Kellen Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant, David Hubert, hereinafter referred to as "Claimant": Fred Rucker, Esq., Law Offices of Fred Rucker, Los Angeles, Ca

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: William R. Drucker, Individually and William R. Drucker IRA, and Barbara V. Drucker (Claimants) vs. Pershing Advisor Solutions LLC (Respondent) vs. EM Financial Solutions LLC, Chariene Marant, Elizabeth Ferreira, and Marant Enterprise Holdings LLC (Third-Party Respondents) Case Number: 06-03305 Hearing Site: Boston, Massachusetts Nature of the Dispute: Initial Claim: Customer v