AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dan Wittman vs. Name of Respondent Citigroup Global Markets Inc. d/b/a Salomon Smith Barney Inc. Case Number: 06-01762 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Dan Wittman ("Claimanf or "Wittman") was represented by Bruce D. Oakes, Esq. and Richard Fosher, Esq., Oakes & Fosher, LLC,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mitzl J. Gammill vs. Case Number: 09-02581 Hearing Site: Dallas, Texas Names of Respondents Don Friday, and Edward D. Jones & Co., L.P. Customer vs. Member and Associated Person Mitzl J. Gammill ("Claimant" or "Gammiir) appeared pro se. Don Friday ("Friday") and Edward D. Jones & Co., L.P. ("Edward Jones"), collectively referred to as "Respondent

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00767 Anthony Peterman (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Austin. TX. For Respondent appeared John Bersin. Esq., E*Trade Securities LLC, Roseville. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 11. 2009 CASE SUMMARY: Claimant asserted the following cause of action; failure to transfer shares. The cause of action relates to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00855 Janney Montgomery Scott, LLC Name of the Respondent Hearino Site: Boca Raton, Florida Ronald K. Summers Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott, LLC, hereinafter referred to as "Claimant": Amy E. SpanDw. Esq., Stradley Ronon Stevens & Young, LLP, Philadelphia, Pe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04040 SunTrust Investment Services, inc. Name of the Respondent Hearing Site: Washington. D.C. Michael J. DePin'i Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For SunTnjst investment Services, inc. ("SunTmst"), hereinafter referred to as "Claimant": Timothy J. McEvoy. Esq., Odin Feldman Pittleman. P.C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-03946 Wiliiam Edgar Helms, III Names of the Respondents Hearino Site: Columbia, South Carolina Wachovia Securities, LLC James Preston Covington, III Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William Edgar Helms, III, hereinafter referred to as "Claimant": Teresa Davis Buiford. E

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent City Securities Corporation vs. Names of Respondents/Counter-Claimants Ameriprise FInanciai Services, Inc. and Brian Osner Case Number 09-00965 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Member vs. Member and Associated Person REPRESENTATION OF PARTIES City Securities Corporation ("Claimant") was represented by J

stipulated Award FINRA Dispute Resolution In the Matter of ttie Arisitration Between: Name of the Claimant Case Number: 08-04493 Professional Properties Management Inc. Names of the Respondents Hearing Site: Boca Raton, Florida SunTrust Investment Sen/ices, Inc. Linda Greener Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Professional Properties Management Inc., hereinafter referred to as "Ciai

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Janney Montgomery Scott, LLC Name of the Respondent Craig Alan Plerson Case Number 09-01663 Hearino Site: Ft. Lauderdale, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott, LLC, hereinafter referred to as "Claimant": Carrie L. Chell(o, Esq., Janney Montgomery Scott, LLC, Phil

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 08-04613 Clifford N. Wade and Margarita D. Wade Name of the Respondent Hearino Site: Birmingham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Clifford N. Wade and Margarita D. Wade, hereinafter collectively refen^d to as "Claimants": James A. Dunlap, Jr., Esq., Jame