Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fred Ostrove (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 06-01926 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Fred Ostrove hereinafter referred to as "Claimant": Jacob H. Zamansky, Esq., Zamansky and Associates, LLC, New York, NY. Respondent Citigroup Global Markets, Inc. ("

FINRA Award NASD Dispute Resolution In the Matter of the Arbitration Between: Polina Tertyshnaya and Alexander Tertyshny (Claimants) vs. VFinance Investments, Inc., and Prudential Equity Group, LLC (Respondents) Case Number: 05-03086 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES Claimants Polina Tertyshnaya ("P. Tertyshnaya") and Alexander Tertyshny ("A.Tertyshny"), hereinafter colle

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Francis E. Wanat (Claimant) vs. Essex & York, Inc., and Joseph Barile {Respondents) Case Number: 06-04764 SITUS: Newark, New Jersey NATURE OF DISPUTE: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Francis E. Wanat hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Law Office of Debra G. Speyer, Philadelphia, PA. Respondent Essex and York, In

FINRA Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Peter C. Dolan (Respondent) Case Number: 07-00078 Hearing Site: Boston, Massachusetts 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": Erin A. Rowin, Es

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lorraine Cavaness vs. Case Number: 05-06260 Hearing Site: Indianapolis, Indiana Names of Respondents American General Equity Services Corporation and Daniel Bookout NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Lon'alne Cavaness ("Claimant") was represented by Phillip D. Sever, Esq., The Sever Law

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00020 Mary Faith Morford Names of the Respondents Hearing Site: Boca Raton, Florida L&M Financial Services Lauren A. Ferrante Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary Faith Morford, hereinafter referred to as "Claimant": Chandra Parker Doucette, Esq., Boca Raton, Florida.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01056 Hariand L. Beers Name of the Respondent Hearinq Site: Tampa, Florida Legg Mason Wood Walker, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Hariand L. Beers ("Beers"), hereinafter referred to as "Claimant": Robert J. Peari, Esq., Peari Malarney Smith, P.C, Naples, Florida. For Legg Maso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02388 E*TradG Securities, LLC Name of Respondent Hearinq Site: Memphis, Tennessee Robert Pebbles a/k/a Robert Peebles Nature of the Dispute: MefTiber vs. Customer. REPRESENTATION OF PARTIES E*Trade Securities, LLC ("ETrade"), hereinafter referred to as "Claimant": John Bersin, Esq., Counsel, E*Trade Securities, LLC, Roseville, California

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Elizabeth A. Purcell vs. Case Number: 06-00281 Hearing Site: Chicago, Illinois Name of Respondent A.G. Edwards & Sons, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Elizabeth A. Purcell ("Claimant") was represented by Michael B. Roche, Esq. and Gerald T. Rohrer, Esq., Schuyler, Roche & Zwirner, Chicago, Illino