AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Maritets, Inc. vs. Case Number: 10-00989 Hearing Site: Dallas, Texas Name of Respondent Mark Fowler NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Mari< ets, Inc. ("Claimant" or "Citigroup") was represented by Yana Kromo, Esq., Alonso, Andalkar & Kahn, PC, New York, New York. Mar

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05372 Citigroup Global Markets, Inc. (Claimant) vs. Robert O'Heriihy (Respondent) REPRESENTATION OF PARTIES: For Claimant Citigroup Global Markets, Inc., Yana Kromo, Esq., Alonso, Andalkar & Kahn, P.O., New York, NY. Respondent Robert O'Heriihy, did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: November 24, 2010 CASE SUMMARY: Claimant asserted the following

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04069 David P. and Lety E. Linn, and Lety E. Linn (Claimants) vs. Chase Investment Services Corp., and Tony James Wittrock (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared David Paul Linn, Ocean Shores, WA. For Respondents appeared Elizabeth M. Hill, Esq., Ulmer & Berne LLP, Cleveland, OH. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: September 7, 2010 CASE SUMMARY: Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Leslie C. Katz (Claimant) vs. Citigroup Global Markets, Inc. d/b/a Smith Barney and Marvin Lerman (Respondents) Case Number: 09-06657 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Leslie C. Katz, hereinafter referred to as "Claimant": Alex Gardner, Esq., Mintz and Gold, New York. NY. Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Five Rivers Asset Management, LLC (Claimant) vs. Interactive Brokers, Inc. and Joseph Leschinsky (Respondent) Case Number: 09-05068 Hearino Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Five Rivers Assets Management, LLC, hereinafter referred to as "Claimant": Robert E. Thompson, Esq., Law Office of

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04165 Peter B. Bradford and Georgann Bradford, and Georgann Bradford, IRA (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Peter B. Bradford, Esq., Oklahoma City, OK. For Respondent appeared Sean B. Meehan, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: September 10, 2010 CASE SUMMARY: Claimants

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02434 Natalie Schoengood (Claimant) vs. David Louis Klein (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Boca Raton, FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: May 20, 2010 CASE SUMMARY: Claimant asserted the following cause of action: misappropriation of funds. The cause of action relates to MPF Senior Note I.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04219 Lamar Potts and Ann M. Potts (Claimants) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Curt R. Soefker, Esq., Morgan Keegan & Company, Inc., Memphis, TN. NATURE OF DISPUTE: Customers v. Member DATE FILED: September 17. 2010 CASE SUMMARY: Claimants

Award FINRA Dispute Resolution In the Matter of the Arbitration Beh/veen: Isaac Pardo (Claimant) vs. David Kaminsky and Stifel, Nicolaus & Company, Inc. (Respondents) Case Number: 10-00669 Hearino Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Isaac Pardo, hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway, New York, NY. Respondents David Kam

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Daniel Farash (Claimant) vs. UBS Financial Services Inc. and Steve Feit (Respondents) Case Number: 09-01787 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Daniel Farash, hereinafter referred to as "Claimant": Louis F. Burke, Esq., Louis F. Burke, P.O., New York, NY. Previously, represented by Will