Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Rindy Merrifield TTEE of the Rindy Merrifield Inc. Defined Benefit Plan FBO Rindy Merrifield DTD 1/1/00, Claimant v. Mutual Service Corporation and Michael T. Woods, Respondents Case Number: 06-03213 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorne

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02294 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Names of the Respondents Hearing Site: Washington, D.C. Peter K. Barrett Amy M. Barrett Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Citigroup"), hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Estate of Harriet H. Dublon Warren Brams, as Personal Representative Names of the Respondents Ronald W. Flint A.G. Edwards & Sons, Inc. Case Number: 06-04130 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Estate of Harriet H. Dublon Warren Brams, as Personal Re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03985 Edward Steves Names of the Respondents Hearing Site: Oriando, FL J.P. Turner & Company, LLC Chad Austin Curtis Stavros Doukas Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Edward Steves, hereinafter referred to as "Claimant", appeared pro se. For J.P. Turner & Company, LLC ("JPT

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02323 Milton Wasserburger Blanche Wasserburger Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets d/b/a Smith Barney Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Milton Wasserburger and Blanche Wasserburger, hereinafter collectively referred to as "Claimants": Stefan M. Ap

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jodeen Fletcher vs. Name of Respondent Commonwealth Financial Network Case Number: 07-00879 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Jodeen Fletcher ("Claimant") was represented by Robert A. Uhl, Esq., Aidikoff, Uhl & Bakhtiari, Beveriy Hills, California. Commonwealth Fi

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gretchen L. Fairbairn and James Fairbaim, Claimants v. CIBC World Markets Corp., Respondent Case Number: 05-06065 Hearing Site: Denver, Colorado Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Robert A. Uhl, Esq. Aidikoff Uhl & Bakhtiari Beverly Hills, California For Respondent: Lloyd S. Clareman, Esq. Law Offices of Ll

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Margie K. Aguirre, Claimant v. Piper Jaffray & Co. n/k/a Piper Jaffray Inc., Respondent Case Number: 06-03854 Hearing Site: Helena, Montana Nature of the Dispute: Associated Person v. Member REPRESENTATiON OF PARTIES For Claimant: Linda M. Deola, Esq. Reynolds, Molt and Shenwood PLLP Helena, Montana Marjorie Thomas, Esq. Tim Dick, Esq. Dick & Thomas Butte, M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03345 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Memphis, Tennessee Michael Eugene Winemiller Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Gregory Simon, Esq., Kane and Fischer, LLC,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher Inc., Claimant v. Melvin Reiter, Respondent Melvin Reiter, Counter-Claimant v. RBC Dain Rauscher Inc., Counter-Respondent Melvin Reiter, Third-Party Claimant v. Dain Rauscher Financial Group, Carmine Grillo, Robert Weaver, Christopher Horner, and Charies William Hubbard, Third-Party Respondents Case Number: 06-02931 Hearing Site: Los Angeles, California Na