AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Ray Johnson, Trustee for Sylvia Alford Bush Trust vs. Case Number: 06-05133 Hearing Site: Louisville, Kentucky Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, inc. THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Ray Johnson, Tmstee for Sylvia Alford Bush Trust ("Claimant") was represented by Nancy Oliver Roberts, Esq., Bowlin

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The Estate of Donna M. Cermak, Patricia Prinds, Executor vs. Names of Respondents First Midamerica Investment Corp. and Douglas William Hemke Case Number: 06-05018 l-learing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES The Estate of Donna M. Cermak, Patricia Prinds,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Citigroup Global Markets, Inc., successor in interest to Legg Mason Wood Walker, Inc. Name of the Respondent David W. Mulford Case Number: 06-03794 Hearinq Site: Atlanta, Georgia Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc., successor in interest to Legg Mason Wood Walker,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Linda Chandler Name of the Respondent Prudential Equity Group, LLC Case Number: 07-01120 Hearinq Site: Washington, D.C. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Linda Chandler, hereinafter referred to as "Claimant": Vincent J. Imbesi, Esq., Avelino & Associates, P.C, New York, NY. For Prudential Equity Group,

Award FINRA Dispute Resolution In the Mati:er of the Arbitration Between: Name of the Claimant Case Number: 06-05234 Capital Growth Financial, LLC Name of the Respondent Hearinq Site: Boca Raton, Florida Gregg Thomas Zadrozny Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Capital Growth Financial, LLC ("CGF"). hereinafter referred to as "Claimant": Charies E. Scariett, Esq., Scariett & Gucciardo, P,A., Boca Ra

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00812 John I. Amon, Jr. Names of the Respondents Hearing Site: Raleigh, NC Intersecurities, Inc. Tom Moriarty Vic Hobson Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES John I. Amon, Jr., hereinafter referred to as "Claimant", appeared pro se. For Intersecurities, Inc. ("Inters

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01463 John McQueston Name of the Respondent Hearing Site: Boca Raton, Florida E*Trade Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES John McQueston, hereinafter referred to as "Claimant," appeared Pro se. For E*Trade Securities, LLC, hereinafter referred to as "Respondent": John Bersin, Associat

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00479 Deutsche Bank Securities Inc. Names of the Respondents Hearing Site: Boca Raton. Florida Jenkins-Olsen. Inc, John Gordon Nature of the Dispute: Member vs. Customer, REPRESENTATION OF PARTIES For Deutsche Bank Securities Inc, hereinafter referred to as "Claimant": Jason M. Fedo, Esq., Greenberg Traurig, P.A,, West Palm Beach, Fl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Scottrade, Inc., Claimant v. John C. Gott, Respondent John C. Gott, Counter-Claimant v. Scottrade, Inc., Counter-Respondent Case Number: 07-00805 Hearina Site: Houston, Texas Nature of the Dispute: Member v. Customer Customer v. Member REPRESENTATION OF PARTIES For Claimant and Counter-Respondent: Thomas L, Azar, Jr, Thompson Coburn LLP St, Louis, Missouri For Respo

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Allen M. Green, William L. Wright, Donald E. Teboe. and A. Green Financial Group, inc. vs. Case Number: 06-04714 Hearing Site: Detroit, Michigan Names of Respondents Regis Securities Corporation and Robert K. Cargin NATURE QF THE DISPUTE Associated Persons and Non-Member vs. Member and Associated Person REPRESENTATION QF PARTIES Allen