Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Doreen Romamello-Davis (Claimant) vs. Marc Steinberg (Respondent) Case Number: 07-00611 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Doreen Romamello-Davis hereinafter referred to as "Claimant" appeared pro se. Respondent Marc Steinberg hereinafter referred to as "Respondent": Robert B. Steinberg,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01785 William J. Paulson, ("Claimant") vs. Stifel, Nicolaus & Company, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Stevens Point, Wl. For Respondent appeared in-house counsel David M. Minnick, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 5, 2007 CASE SUMMARY: Claimant alleged that Respondent recommended stocks which were unsuitable for

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01366 l\/licliael J. Smitli (Claimant) vs. A.G. Edwards & Sons, inc. and Wayne Weatherford Watson (Respondents) ATTORNEYS: Claimant l\/licliael J. Smith ("Claimant") appeared pro se, Topeka, KS For Respondents A.G. Edwards & Sons, Inc. and Wayne Weatherford Watson ("Respondents") appeared in-house counsel Dennis J. Capriglione, Esq., A. G. Edwards & Sons, Inc., St. Louis, MO A.G. E

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Janney Montgomery Scott LLC (Claimant) vs. Bruce J. Paura (Respondent) Case Number: 07-02086 SITUS: Orlando, Florida. NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott LLC ("JMS"), hereinafter referred to as "Claimant": Carrie L. CheIko, Esq., Office of General Counsel, JMS, Philadelphia. PA. Bruce J. Paura, hereinafter re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Stanislav Tolstunov a/k/a Stan Tolstunov (Respondent) Case Number: 06-05077 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., hereinafter referred to as "Claimant"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gailene Sarbak (Claimant) vs. Citigroup Global Markets, Inc. and Bhikkli Pai (Respondents) Case Number: 05-01121 Hearing Site: Newark. New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Gailene Sarbak hereinafter referred to as "Claimant": John H. Norton, Esq., and Nicholas Bliablias, Esq., Alport Butier Sand

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Koenigsberg and Saundra Koenigsberg (Claimants) vs. Citigroup Global Markets, Inc., and Debra Member (Respondents) Case Number: 06-04633 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert Koenigsberg and Saundra Koenigsberg hereinafter collectively referred to as "Claimants" appea

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eric Robert Gauster (Claimant) v. Citigroup Global Markets, Inc., Michael Paul Parker, and Martin Christopher Parquette (Respondents) Case Number: 07-00009 Hearina Site: Boston, Massachusetts Nature of the Dispute: Associated Person v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Eric Robert Gauster hereinafter referred to as "Claimant" appeared pro

Award FiNRA Dispute Resoiution In the Matter of the Arbitrafion Between: Dane S. Faber, Claimant v. First Securities USA, Inc., Carl D. Martellaro, Individually and as Trustee of the First Securities USA Legal Defense Plan, Brookstreet Securities Corporation, Stanley C. Brooks and Kenneth C. Foreman, Respondents Carl D. Martellaro, Cross-Claimant v. Dane S. Faber, Cross-Respondent Case Number: 04-00850 Hearina Site: San Francisco, California Nature of t

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Quinault Indian Nation, Claimant v. McDonald Investments Inc., David H. Hohimer, and Michelle M. Hansen, Respondents Case Number: 06-01149 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Carl J. Carlson, Esq. Jason T. Dennett, Esq. Carlson & Dennett, P.S. Seattle, Washington