Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gary K. Chan (Claimant) vs. Unise Investment Corp. (Respondent) vs. Traderfield Securities, Inc. (Third Party Respondent) Case Number: 02-05541 Hearing Site: New York, New York Nature of the Dispute (Initial Claim): Associated Person vs. Member. Nature of the Dispute (Third-Party Claim): Member vs. Member. REPRESENTATION OF PARTIES Claimant Gary K. Chan hereinafter referred to

FINRA DISPUTE RESOLUTION AWARD FHIRA DISPUTE RESOLUTION CASE: 07-01246 Robert L Hill and Mary Hill, ("Claimants") vs. UBS Finandal Senrices. Inc., Jeffrey Wniam Brauley and Richard Earie Wilhelm, ("Respondents") ATTORNEYS: ~ ~ For Claimants appeared Christopher D. Hill, Paris, KY. For Respondents appeared in-house counsel Margarita L. Marsico. Esq.. We^awtcan, NJ. NATUI^ OF DISPUTE: Customers v. Member and Assodated Persons DATE FILED: A

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joyce D. Schmidt, Claimant v. Legacy Financial Services, Inc. and Roger D. Martin, Respondents Case Number: 06-04150 Hearing Site: Denver, Colorado Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Francis V. Cristiano, Esq. Cristiano Law, LLC Greewood Village, Colorado For Respondents: Jonathon D. Bergman, Esq.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04625 Betty Gray Name of the Respondents Hearing Site: Little Rock, Arkansas Citigroup Global Markets, Inc. Charles Rodney George Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Betty Gray, hereinafter referred to as "Claimant": Richard C. Downing, Esq., Richard C. Downing, P.A., Little

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Pamela M. Maloof, Pamela M. Maloof IRA, and Kathleen J. Smitz and Pamela M. Maloof, JTWOS vs. Case Number: 06-04784 Hearing Site: Indianapolis, Indiana Names of Respondents Raymond, James & Associates, Inc., Raymond James Financial Services, Inc., and Christopher Eric Saxon NATURE OF THE DISPUTE Customers vs. Members and Associated Person

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Weatherly Securifies Corporation (Claimants) vs. John S. Matthews, Anthony Ottimo, Thomas Giugliano and Ehrenkrantz King Nussbaum, Inc. (Respondents) vs. Weatherly Securities Corporation, Weatherly International PLC, Jack Najarian, William Odenthal, and Michael Ward (Third-Party Respondents) Case Number 01-05638 Hearing Site: New York, New York and Thomas Giugliano and Anthony

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Estate of Edward A. Cantor (Claimant) vs. Gibraltar Securities, Co., Hartford Insurance Co., Equitable Distributors, Inc., and Jeffrey Grayson (Respondents) Case Number: 99-03196 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Members, Non-Member and Associated Person. REPRESENTATION OF PARTIES Claimant The Estate of Edward A. Cantor hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Tango Fashions Trading, LTD. (Claimant) vs. Jon Lee (Respondent) Case Number: 06-00299 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant, Tango Fashions Trading, LTD., hereinafter referred to as "Claimant": David H. Fromm, Esq., Brown Gavalas & Fromm LLP, New York, NY. Respondent, Jon Lee, hereinafter refe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sheldon P. Spitz, TTE, SOL Spitz Co. Inc., Profit Sharing Trust (Claimant) vs. Timecapital Securities Corporation and Jeffrey Harriton (Respondents) Case Number: 06-02580 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Sheldon P. Spitz, TTE, SOL Spitz Co. Inc., Profit Sharing Trust hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: IVIaxim Group LLC (Claimant) vs. Eric Bentancourt (Respondent) Case Number: 07-00061 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Maxim Group LLC, hereinafter referred to as "Claimant": Natalie C. Edie, Esq., and James E. Siegal, Esq., Maxim Group LLC, New York, NY. Respondent Eric Bentancourt hereinaft