AWARD FINRA DISPUTE RESOLUTION CASE: 09-05600 Bruce C. Brookshire (Claimant) vs. Capitol Securities Management, Inc., Jim Day. and G. Mark Hamby (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Biloxi, MS. For Respondents appeared Janet K. DeCosta, Esq., Law Offices of Janet K. DeCosta, Washington, DC. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: September 25, 2009 CASE SUMMARY: Claimant asserted the f

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Phyllis Shore (Claimant) v. Citigroup Global Markets, Inc., Smith Bamey, Inc., and Ron Cukier Case Number: 09-01764 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Estate of Phyllis Shore, hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway, New York, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) v. David R. Gaeckler (Respondent) Case Number: 09-01983 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": Deborah Evans, Esq., Michaels, Ward & Rabinovitz LLP, Boston, MA. Respondent David R. Gaeckler hereinaf

AWARD FINRA Dispute Resolution In the Matter of the Arbitratbn Between: Name of Claimant/Counter-Resoondent Citigroup Global Marinate, Inc. vs. Name of Resoondent/Counter-Clalmant Daniel Joseph Henrichs Case Number: 09-00882 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person Citigroup Global Maricets, Inc. ("Claimanr or "Citigroup") was represented by Catania, Facher, Esq., Alonso, Andalkar & Kahn, P.C, N

AWARD FINRA Dispute Resolution In the Matter of the Arisltration Between: Names of Claimants Cari E. Lambert and Patricia A. Lambert, as Trustees of the Cari E. Lambert and Patricia A. Lambert Living Trust, and Patricia A. Lambert, as Tmstee of the Patricia A. Lambert IRA vs. Name of Respondent Raymond James Financial Services, Inc. Case Number 09-00362 Hearing Site: St. Louis, Missouri Customers vs. Member Cari E. Lambert and Pat

AWARD FINRA Dispute Resolution In the Matter of the Arisitratlon Between: Name of Claimant Meniil Lynch, Pierce, Fenner & Smith Incorporated vs. Name of Respondent David Raacl( Case Number 09-06178 Hearing Site: Houston, Texas Member vs. Associated Person Merrill Lynch, Pierce Fenner & Smith Incorporated ("Claimanr) was represented by Jeffrey M. Csercsevits, Esq., Rubin, Fortunate & Harbison, P.C, Paoli, Pennsylvania. David Raack ("Respon

STIPULATED AWARD FlURA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Bamey, Inc. vs. Name of Resoondent/Counter-Clalmant Robert D. Miller, Jr. Consolidated with: Name of Claimant/Counter-Respondent Citigroup Global Maricets, Inc. f/k/a Salomon Smith Bamey, Inc. vs. Name of Respondent/Counter-Ciaimant Thipp Ratsatxiutseua Case

Award FINRA Dispute Resolution In the Matter of the Arbjtration Between: Name of the Claimant Case Number 08-01757 Paul Nomnan Name of the Respondent Hearing Site: San Francisco, Califbmia Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Paul Norman, hereinafter refened to as "Clalmanf: Brfan G. Isaacson, Esq., Isaacson & Wilson, P.S., Seattle, Washington Respondent, Citigroup G

stipulated Award FINRA Dispute Resolution In the Matter of the Art}itration Between: Claimant/Counter-ResDondent: Case Number 08-02932 Ameriprlse Advisor Services, Inc. Formeriy H&R Block Financial Advisors, Inc. Respondent/Counter-Claimant: Hearino Site: Los Angeles, Califbmia James M. Patton Nature of the Disputes: Member vs. Associated Person Associated Person v. Member Claimant/Counter-Respondent Ameriprlse Advisor Services, Inc., for

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 08-05012 Mary Morlas, individually, and as Trustee of the Mary R. Morlas Trust and the Mary Morlas IRA Account Name of the Respondents: Hearing Site: Los Angeles, California RBC Dain Rauscher Inc. n/k/a RBC Capital Markets Corporation John Kennedy Christopher B. Kennedy Robert S. Weaver Nature of the Dispute: Customer vs.