Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fredi Queen (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-01094 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Fredi Queen, hereinafter referred to as "Claimant": David H. Ledgin. Esq.. Mineola, NY. Respondent Citigroup Global Markets, Inc., hereinafter referred to as "Respondent": J

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02735 Larry Turpin, Independent Executor of the Estate of Lillian Turpin (Claimant) vs. WHIiams Financial Services and LPL Financial Corporation (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared M. Michael McLarty, Esq.. M. Michael McLarty. P.C, Arlington, TX. For Respondents appeared N. Nancy Ghabai, Esq.. LPL Financial Services, Boston. MA. NATURE OF DISPUTE: Customer v. Non-Member and Member

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of the Claimant: Case Number 09-00877 Frank R. Lopez, Individually and as Tmstee to the Frank R. Lopez Living Tmst, dtd 09/27/2007 Name of the Respondent: Hearing Site: Los Angeles, Califbmia Wells Fargo Investments, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Frank R. Lopez. Indivkiually and as Tmstee to the Frank R. Lopez Liv

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-01578 Steven L. Linsey Trust Respondent Hearino Site: San Francisco, Califbmia E^Trade Securities LLC Nature of the Dispute: Customer vs. Member REPRESENTATiON OF PARTIES Claimant, Steven L. Linsey Trust, hereinafter referred to as "Claimant": Steven L. Linsey, San Francisco, California. Respondent, E^Trade Securities LLC, hereinafter referre

Stipulated Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-02077 ACTS Capital Investments, LLC Mark Kielar Tammy Kielar Names of the Respondents Hearina Site: Boca Raton, Florida Alterna Capital Corp. Robert Lloyd Konrad, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For ACTS Capital Investments, LLC, Marie Kielar and Tamm

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00745 E. Eugene Gunter Names of the Respondents Hearina Site: Richmond, VA Whitaker Securities. LLC Steve Morris Thomas E. O'Neill Michael S. Segal Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For E. Eugene Gunter, hereinafter referred to as "Claimant": W. Scott Greco.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fordham Financial Management, Inc. (Claimant) vs. John Alejos (Respondent) Case Number: 08-03207 Hearing Site: New Yoric, New Yorit Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Fordham Financial Management, Inc., hereinafter referred to as "Claimant": Brian Neville, Esq., Lax & Neville, LLP, New York. NY. Respondent John Alejos hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Steven A. Newman (Respondent) Case Number: 08-04065 Hearina Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fisher, Esq., and Ronald Kane, Esq., Kane & Fischer, Ltd.,

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Maxim Group LLC (Claimant) vs. Yachtz Radcliff Winch (Respondent) Case Number: 09-03229 IHearing Site: New Yoric, New York NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Maxim Group LLC, hereinafter referred to as "Claimant": Christopher G. Massey, Esq., Maxim Group LLC, New Yorl< , NY. Respondent Yachtz Radcliff Winch did not enter an appearanc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Smith Barney Division of Citigroup Global Markets, Inc. f/l^a Salomon Smith Barney Inc. (Claimant) v. Wachovia Securities, LLC, Marc Johnson, Eugene Richardson, Carol Ramsdell, Justin Bundo, Dolores DeGregoria, and Matthew Mulpeter (Respondents) Case Number: 09-01130 Hearing Site: Rochester, New Yorl^ Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENT