Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Ernest S. Matthews (Claimant) vs. Fidelity Brokerage Services, John Lowe, and James Mitchell (Respondents) Case Number: 05-06393 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Ernest S. Matthews hereinafter referred to as "Claimant": Christopher M. Pilkerton, Esq., Ruddy Law Office PLLC,

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01257 Janney Montgomery Scott LLC (Claimant) vs. Thomas Howard Taylor (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Carrie L. Cheiko, Esq., Philadelphia, PA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 20, 2007 CASE SUMMARY: Claimant alleged that Respondent breached a settlement agr

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01358 Citigroup Global Markets, Inc. d/b/a Smith Barney (Claimant) vs. Elmer Johnson (Respondent) ATTORNEYS: For Claimant Citigroup Global Markets, Inc. d/b/a Smith Barney appeared Joan Toro, Esq., of the firm Alonso, Andalkar & Kahn, P.C. Respondent Elmer Johnson appeared pro se, Walla Walla, WA. NATURE OF DISPUTE: Member v. Customer DATE FILED: April 26, 2007 CASE SUMMARY: Cl

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 07-01436 McGinn Smith & Co., Inc., ("Claimant") vs. Derek D. Paulsen and Seth M. Stone, ("Respondents") ATTORNEYS: For Claimant appeared in-house counsel Joseph B. Carr, Esq., Albany, NY. Respondent Derek D. Paulsen appeared pro se, Albany, NY. Respondent Seth M. Stone appeared pro se, Slingerlands, NY. NATURE OF DISPUTE: Member v. Associated Persons DATE FILED: May 2, 2007 CASE S

Award FINRA Dispute Resoiution In the Matter of the Ariaitration Between: Kathleen Ann Hayden, in her capacity as General Personal Representative of the Estate of William F. Deinhard, Claimant v. H&R Block Financial Advisors, Inc. and Jonathan R. Zweifel, Respondents Case Number: 06-04212 Hearing Site: Boise, Idaho Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: G. Mark Brewer, Esq. Brewer

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02921 Jennifer S. Smith Names of Respondents Hearing Site: Raleigh, North Carolina Brookstreet Securities Corporation Chris Victor Suarez Ryan H. Ku Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jennifer S. Smith ("Smith"), hereinafter referred to as "Claimant": Hans H. Huang, Esq

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01255 Beveriy Joyce Ashton Names of the Respondents Hearing Site: Nashville, Tennessee Ralph Drayer Morgan Stanley Dean Witter Allstate Life Insurance Company Nature of the Dispute: Customer v. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Beveriy Joyce Ashton, hereinafter referred to as "Claimant": Richard

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Donchee Lin and Donchee Lin, IRA, Claimants v. Weiming Ho and Integral Financial LLC, Respondents Case Number: 06-00122 Hearina Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Donchee Lin Maiden, Massachusetts For Respondents: Weiming Ho Integral Financial LLC San Jose, Califor

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Duane V. Murff vs. Names of Respondents UMB Scout Brokerage Services. Inc.. Banc of America Investment Services, Inc., and Mark Wheeler Hams Case Number: 05-04204 Hearing Site: Kansas City. Missouri NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Duane V. Murff ("Claimant") was represented by Mi

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants David and Grace Petersen and the David Petersen IRA vs. Names of Respondents A.G. Edwards & Sons, Inc. and William Patrick Ferry Case Number: 06-02945 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES David and Grace Petersen and the David Petersen IRA ("Claiman