FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01211 Norman A, Foster, ("Claimant") vs. Edward D. Jones, LLP, ("Respondent") ATTORNEYS: Claimant appeared pro se, Topeka, KS, For Respondent appeared in-house counsel Lynette D, McCloud, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 13, 2007 CASE SUMMARY: Claimant alleged that Respondent permitted unauthorized withdrawals to occur in his account. Cl

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Lawrence D. Scbloveno (Respondent) Case Number: 07-00240 Hearina Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicag

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Pro-Integrity Securities, Inc. (Claimant) vs. Jeffrey Rubin, Chris Pezzullo, Richard Morello, and Independent Capital Management, Inc. (Respondents) Case Number: 04-02939 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Persons and Non-Member REPRESENTATION OF PARTIES Claimant Pro-Integrity Securities, Inc., hereinafter referred to as "Claimant": Willia

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bernard McDaniel (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Kevin B. Murphy, and Daniel T. Fais (Respondents) Case Number: 06-02538 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Bernard McDaniel hereinafter referred to as "Claimant": Jonathan D. Berg, Esq., La

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Harold Bennett, Janet Bennett, Joyce Alo, Bernardina Augusto, Antonio Augusto, Frederick Burmeister, Diane Burmeister, Ralph Carlson, Gail Carlson, Brenda Caswell, Kenneth Caswell, Marguerite Edwards, George Finkbiner, Herbert Hansen, individually, and f/b/o for his late wife Elizabeth Hansen, and f/b/o Davidson Rugs Profit Sharing Trust, Jane Hoffman, Margaret Huyler, Kendall Kelly, J

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Carolyn Cohen, Individually, and as MLPF&S CUST FPO Lee Container & Paper Basic FBO Carolyn Cohen, and Carolyn Cohen Trustee TTEE U/W Henry Cohen (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Larry Rothenberg, and The RVH Group (Respondents) Case Number: 04-00577 Hearing Site: Newari< , New Jersey Nature of the Dispute: Customers vs. Member, Associated Person, and Non

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Streisfeld (Claimant) vs. Citigroup Global Markets, Inc. a/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 06-04998 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Richard Streisfeld hereinafter referred to as "Claimant": Neil A. Sussman, Esq., Sussman & Frankel, LLP, New York, NY. Res

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Patricia Cavaness, Individually and as Custodian for the Patricia Cavaness IRA vs. Case Number: 06-04228 Hearing Site: Indianapolis, Indiana Names of Respondents American General Equity Sen/ices Corporation and Daniel S. Bookout NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Patricia Cavaness, Indiv

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Grace Patnik vs. Case Number: 07-00039 Hearing Site: Cleveland, Ohio Name of Respondent Citigroup Global Markets, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Mary Grace Patnik ("Claimant") was represented by Leonard W. Yelky, Esq., Yelsky & Lonardo, Cleveland, Ohio. Citigroup Global Markets, Inc. ("Citigroup

Award FINRA Dispute Resolution In the Mafter of the Arbitration Between: Ann Bell Serrato, Claimant v. Ameriprise Financial Sen/ices, Inc., Respondent Case Number: 06-05318 Hearing Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: John D. Singer, Esq. Michael C. Deutsch, Esq. Singer Deutsch, LLP New York, New York For Respondent: Julie Fleming-Wolfe, Esq. Aftorney at Law