Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul J. Livote (Claimant) vs. First Empire Securities, Inc. (Respondent) Case Number: 06-03840 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Paul J. Livote hereinafter referred to as "Claimant": Anthony Marino, Esq., Law Office of Vincent D. McNamara, East Nonwich, NY. Respondent First Empire Securities,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. (Claimant) vs. Global Credit Partners, LLC (Respondent) Case Number: 06-05062 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Susan J. Steinthal, Esq., Citigroup Global Markets, Inc., New York, NY. Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-05255 Gregory Jones Anthony Peter Guarraci Names of the Respondents Hearing Site: Atlanta, Georgia E*Trade Securities, LLC E*Trade Financial Corporation E*Trade Brokerage Holdings, Inc. ETP Holdings E*Trade Professional Trading, LLC Lightspeed Professional Trading, LLC Stephen Ehriich Nature of the Dispute: Associated P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01594 William R. Ralston Names of the Respondents Hearing Site: Little Rock, Arkansas Delta Trust Investments, Inc. Andra Dillard Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES William R. Ralston, hereinafter referred to as "Claimant," appeared Pro se. For Delta Trust Investments, Inc. ("D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03270 Russell P. Dewing Name of the Respondent Hearing Site: Tampa, Florida Citigroup Global Markets, Inc./Salomon Smith Barney/Smith Barney Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Russell P. Dewing, hereinafter referred to as "Claimant": Stephen D. Spivey, Esq., Ocala, Florida. For Citigroup Glo

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Emily R. Firebaugh vs. Names of Respondents A.G. Edwards & Sons, Inc. and CIBC Worid Markets Corp. Case Number: 06-04978 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Emily R. Firebaugh ("Claimant") was represented by Jerome F. Raskas, Esq. and Peter Love, Esq., Goffstein, Raskas,

Award FINIRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00724 Coker, Palmer, Phillips & Mullen, Inc. Paul T. Westervelt Michael D. Bodino Name of the Respondent Hearing Site: Jackson, Mississippi Sterne, Agee & Leach, Inc. Nature of the Dispute: Member and Associated Person vs. Member. REPRESENTATION OF PARTIES For Coker, Palmer, Phillips & Mullen, Inc. ("CPPM"), Paul T. Westervelt ("W

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Billy C. Willoughby, Marcla J. Hicks, Richard L. Shelton, Edward L. Graham, Carol Morford, Luster D. Palmer, James R. Phillips, Helen S. Phillips, Clay C. Faulconer, James Hellard, JImmie R. Embry, and Robert McDonnell vs. Case Number: 06-05197 Hearing Site: Lexington, Kentucky Names of Respondents A.G. Edwards & Sons, Inc. and Bryon Lee Holle

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lawrence B. Frankel (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Respondent) Case Number: 07-02787 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Lawrence B. Frankel hereinafter referred to as "Claimant": Eva H. Posman, Esq., New York, NY. Respondent Merrill Lynch, Pi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04597 SunTrust Banks, Inc. SunTrust Capital Markets, Inc. SunTrust Investment Services, Inc. Name of the Respondent Hearinq Site: Washington, D.C. Joshua A. Mazer Nature of the Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For SunTrust Banks, Inc. ("Banks"), SunTrust Capital Markets, Inc. ("Capital