AWARD FINRA Dispute Resolution In the Matter of the Ari^'itration Between: Name of Claimant L. James Reese Revocable Trust, Tmst A, by Patricia Luann Reese and Edward A. Setzler, Co-Trustees vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith. Inc. Case Number: 07-01452 (Hearing Site: Kansas City. Missouri Customer vs. Member L. James Reese Revocable Trust. Trust A. by Patricia Luann Reese and Edward A. Setzler, Co-Trustees (

Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Claimant Case Number: 09-01635 Estate of Chaille M. Love, Deceased Respondents Hearing Site: San Francisco, Califomia Menill Lynch. Pierce, Fenner & Smith Incorporated LJsaann Tomiko Nouchi Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant. Estate of Chaille M. Love, Deceased, hereinafter referred to as "Claimant" or

Award FINRA Dispute Resolution in the Matter of the Arfortration Between: Name of the Claimant: Case Number 08-02081 John Yarbrough Name of the Respondent: Hearing Site: Los Angeles, Califomla Citigroup Global Markets. Inc. f/k/a Smith Barney, inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant John Yarbrough hereinafter referred to as "Claimant": Philip M. Aidikoff. Esq. and Robert A. Uhl, Esq., Ai

Award FINRA Dispute Resolution in ttie Matter of the Arisitration Between: Claimants Case Number: 08-04209 Odeen Manning The Odeen Manning Family LP Respondent Hearino Site: Las Vegas, Nevada Homor, Townsend & Kent, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Odeen Manning, and The Odeen Manning Family LP. hereinafter collectively referred to as "Claimants": Joel A. Goodman. Esq., and Kalju Neicva

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Ventura (Claimant) vs. Royal Alliance Associates, Inc. (Respondent) Case Number: 09-01246 Hearing Site: Albany, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Joseph Ventura hereinafter referred to as "Claimant": Wayne A. Smith, Jr., Esq.. Smith Phllipp. PLLC, Sllngeriands. NY. Respondent Royal Alliance Associates, Inc., h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Victoria Hyman (Claimant) vs. Friedman, Billings, Ramsey & Co., Inc., Dan Ondeck, and Demetri Diavatls (Respondents) vs. Steven Hyman (Third-party Respondent) Case Number: 08-02036 Hearing Site: New York, New York Nature of the Dispute: Initial Claim: Customer vs. Member and Associated Persons Third-party Claim: Member and Associated Persons vs. Customer REPRESENTATION OF PARTIE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter J. Hickey (Claimant) v. Citigroup Global Markets, inc. (Respondent) Case Number: 08-02054 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Peter J. Hickey hereinafter referred to as "Claimant": Jonathan R. Altschuler, Esq., O'Shea Partners LLP, New York. NY. Respondent Citigroup Global Markets, inc., h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Arjent Services, LLC and Arjent US (Claimants) vs. Tejash Brahmbhatt (Respondent) Case Number: 08-04632 Hearino Site: New York, New York Nature of the Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES Claimants Arjent Services, LLC ("Arjent Services") and Arjent US ("Arjent US"), hereinafter collectively referred to as "Claimants": James H. Freeman, Esq

AWARD FINFIA DISPUTE RESOLUTION CASE; 09-01697 Charles Leilman (Claimant) vs. Granta Capital Group LLC (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Gregg Mele, Esq.. Mele & Associates. LLC, Clark. NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: March 26, 2009 CASE SUMMARY: Claimant asserted the following cause of action: erroneous allegations on Form U5. ARBITR

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03505 Oppenheimer & Co.. Inc. (Claimant) vs. David J. Jeromin (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Devin A. Donohue. Esq.. Los Angeles. CA and Diana Sur. Esq.. Oppenheimer & Co.. Inc., New York, NY. Respondent appeared pro se, San Francisco, CA. NATURE OF DISPUTE: Member v. Associated Person DATEFILED: June 10. 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach