Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kjersten Lazar (Claimant) vs. Citigroup Global Markets, Inc., and Catherine Galgano (Respondents) Case Number: 07-01213 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Kjersten Lazar hereinafter referred to as "Claimant": Edward Boyle, Esq., and Jefl'rey Wilson, Esq., Wilson, Elser, M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Edgar Rene Barron Name of the Respondent H&R Block Financial Advisors, Inc. Case Number: 07-00960 Hearina Site: Orlando, Florida Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Edgar Rene Barron, hereinafter referred to as "Claimant," appeared pro se. For H&R Block Financial Advisors, Inc. ("HRB"), hereinafter refe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04568 Raymond James & Associates, inc. Name of the Respondent Hearinq Site: Tampa, Florida Cantor Fitzgerald & Co. Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES For Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Shepherd D. Tate. Esq. and Michael A. Brady, Esq., Bass, Berry & Sims, PLC, Mem

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01933 Robert L. Kellogg and Evelyn Lea Kellogg, TTees, UDT DTD 3/11/80 FBO The Kellogg Trust ("Claimants") vs. Croweil, Weedon & Co. ("Respondent") ATTORNEYS: Robert L. Kellogg and Evelyn Lea Kellogg, TTees, UDT DTD 3/11/80 FBO The Kellogg Trust ("Claimants") appeared pro se, Potomac, MD For Croweil, Weedon & Co. (Respondent") appeared James R. Kruger, Los Angeles, CA NATURE OF DISPUTE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03931 Patricia E. Murphy Names of the Respondents Hearinq Site: Raleigh, NC James T. Patten Greater Metropolitan Investment Services, Inc. T.R. Winston & Co., LLC Empire Financial Group, Inc. Charles John Sinko Chintaman M. Dalvi Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. David Smith (Respondent) Case Number: 06-04325 Hearina Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Greg Simon, Esq., Kane & Fischer, Ltd., Chicago, IL. Previously repres

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Rosa Portolano (Claimant) vs. East Shore Partners, Inc., Steven Gatto, Harold Garrecht, Anton Gerdes, and Cari DeLucia (Respondents) Case Number: 06-00371 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Rose Portolano hereinafter referred to as "Claimant": James A. Prestiano, Esq.,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02391 David N. Fogg and Jane D. Fogg ("Claimants") vs. John McGovern and UBS Financial Services, Inc. ("Respondents") ATTORNEYS: David N. Fogg and Jane D. Fogg ("Claimants") appeared pro se, Santa Barbara, CA For John McGovern and UBS Financial Services, Inc. ("Respondents") appeared Kathleen Adams, Esq., in-house counsel of UBS Financial Services, Inc., Los Angeles, CA NATURE OF D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Scherrer (Claimant) vs. Brill Securities, Inc. (Respondent) Case Number: 06-02392 Hearina Site: Newarl< , New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Robert Scherrer hereinafter referred to as "Claimant": Richard D. DeVita, Esq., DeVita & Associates, Hobolten, NJ. Respondent Brill Securities, Inc., hereinafter referred to as "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Hartford Financial Holdings, inc., Alan R. Stevenson, Lighthouse Two Corp., Capital Asset Management Ltd., Andrew Trojner, and NKV, Ltd. (Claimants) vs. Bathgate Capital Partners LLC, Steven C. Signer, Bathgate Partners LLC, Steven M. Bathgate, Vicl< i D. Barone, Richard T. Huebner, and NF Clearing, Inc., formerly known as Fiserv Securities, Inc. (Respondents) Case Number: 05-04934