AWARD FINRA DISPUTE RESOLUTION CASE: 09-03337 Mary Herzig (Claimant) vs. E'Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES Claimant appeared pro se. Syosset. NY. For Respondent appeared John Bersin, Esq., E'Trade Securities LLC. Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATEFILED: June 2. 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to execute The cause of action relates to Citibank common shares.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services. Inc. (Claimant) vs. Joseph H. Morrow (Respondent) Case Number: 09-03029 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as 'Claimanf: Diane C. Fisher, Esq.. and Thomas Volz. Esq.. Kane & Fischer. Ltd..

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03230 Craig Taylor (Claimant) vs. Charles Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William B. Young, Jr.. Esq.. Colling. Gilbert, Wright & Carter. Orlando, FL. For Respondent appeared Evelyn C. Best. Esq.. Keesal. Young & Logan. Long Beach. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 29. 2009 CASE SUMMARY: Claimant asserted the following causes of action

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: J.B. Hanauer & Co. (Claimant) vs. Robert Grossman (Respondent) Case Number: 08-03045 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant J.B. Hanauer & Co., hereinafter referred to as "Claimant": Joseph F. Keenan, Esq.. McCanliss & Early, New York, NY. Respondent Robert K. Grossman hereinafter referred to as "R

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03228 Oppenheimer & Co., Inc. (Claimant) vs. Gerald D. Chassang (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diana H. Sur. Esq.. Oppenheimer & Co., Inc., New York, NY. Respondent appeared pro se, Tampa. FL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 28, 2009 CASE SUMMARY: Claimant asserted the following cause of action; breach of Stabilization Agreements. Claim Data

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04097 Wachovia Securities. LLC (Claimant) vs. Michael W. Wiginton. Sr. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Renan I. Sugarman, Esq.. Renan Sugarman. P.C. Chicago, IL. Respondent appeared pro se. Jasper. AL. NATURE OF DISPUTE; Member v. Associated Person DATEFILED: July6, 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to repay promissory note. Claim Data

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-03355 Move, Inc. Respondent Hearing Site: Los Angeles, California Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. MemlDer REPRESENTATiON OF PARTIES Claimant, Move, Inc., hereinafter referred to as "Claimant": Melissa B. Felder, Esq.. Boies. Schiller & Flexner LLP, Washington, DC. Respondent, Citigroup Global Maritets, Inc.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of ttie Claimant Case Number 09-00819 Kathleen Castie, Tmstee of the Second John W and Kathleen M CasUe Tmst U/A DTD 05/20/2007 Name of ttie Resoondente Hearing Site: Reno, Nevada Wells Fargo Invesbnente, LLC Forest Lennon Grady Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Kathleen Castle, Tmstee of the Second Jo

Award FiNRA Dispute Resolution In the Matter of the Arbitratton Between: Name of the Claimants Kaneila V. Sarros Kaneila V. Sarros Roth IRA Sarros Family Trust dtd 10/03/2001 Kaneila V. Sarros 4038 Name of the Respondents Traderlght Securities, inc. Advisory Financial Consultants, Ina Ruthe Pessin Gomez Michael John Rukujzo George Edward Dragei Case Number 08-03899 Hearino Site: San Francisco, Califbmia Nature of the Dispute

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Numljer: 07-03399 Brian A. Kenner Kathleen A. Kenner BKK Holdings, LLC (successor to BKK Acquisition 1) BKK Acquisition II. LLC BKK Acquisition 111, LLC Respondents Hearing Site: San Diego, California Deutsche Banic Securities, Inc. William J. Conn John KryzanowsKi Fred C. Crozier Nature of the Dispute: Customers vs. Member and Associat