AWARD FINRA DISPUTE RESOLUTION CASE: 09-01310 Carol deMontel (Claimant) vs. UBS Financial Services Inc.. and Jennifer Anne Goodman (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Santa Fe, NM. For Respondents appeared Kathleen S. Adams, Esq., UBS Financial Sen/Ices Inc.. Los Angeles. CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 9, 2009 CASE SUMMARY: Claimant alleged that Respondents failed t

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Isidore Mayrocl^ as General Partner of REI 3. LLC (Claimant) vs. Citicorp Investment Services and Citigroup Global Mari^ets, Inc. (Respondents) Case Number: 08-02809 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Isidore Mayrock as General Partner of REI 3, LLC, hereinafter referred to as "Claimant": David A. Wein

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gail Pasternack (Claimant) vs. UBS Financial Services Inc. (Respondent) Case Number: 08-03293 Hearing Site: New York, New Yorl< Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Gail Pasternacl< . hereinafter referred to as "Claimant": Adam J. Gana, Esq., Napoli Bern Ripi^a LLP, New Yorl^, NY. Respondent UBS Financial Sen/ices Inc.. hereinafter referr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Julius Shulman (Claimant) vs. Victor Labi and Leeb Broi< erage Services, Inc. (Respondents) Case Number: 08-01060 Hearing Site: New Yorl^, New Yori< Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Julius Shulman hereinafter referred to as "Claimant": Stefan Kalina, Esq, Lowenstein Sandler PC, New York, NY. Respondent Victor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) vs. Jesup & Lamont Securities Corp., James F. Dever, Jonathan E. Altman, Kenneth B. Fechtor, and Noel Fleming (Respondents) vs. Albert G. Lowenthal (Third Party Respondent) Case Number: 08-00912 i-learinq Site: Boston, Massachusetts Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Oppenheimer &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Interactive Broilers LLC (Claimant) vs. Lei^ Securities Corporation, Petra Trading Group LLC, Last Atlantis Capital l^anagement, l^arl^ Steven Ramos, l^artin Allamian, and Michael Elizondo (Respondents) Case Number: 07-02493 Hearing Site: New York, New Yori^ Nature of the Dispute: Member vs. Members. Non-Members, and Associated Persons REPRESENTATION OF PARTIES Claimant Interact

Award FINRA Dispute Resolution In the Matter of the Art)ltration Between: Name of the Claimant Case Number 08-03252 Lavon Brack Voyles Name of the Resoondente Hearing Site: Houston, Texas ING Financial Partners, ln& Walter Joe Wilson, Jr. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Lavon Brack Voyles, hereinafter referred to as "Claimant*: Richard H. Elltot, Esq., Fredericksburg, Tex

Award FINRA Dispute Resolution In the Matter of the Artitration Between: Claimant Case Number 08-03386 Gene McCutchin Respondent Hearing Site: Dallas, Texas Raymond James Financial Services, inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Gene McCutchin, hereinafter referred to as "Claimant" or" McCutchin": Robert L. Wright. Esq., Robert L. Wright. P.C. Fort Worth. Texas. Respondent. Raymond James Finan

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimants Case Number 08-02765 Stephen Dale Bull Bull Capital Management, LLC n/k/a Next Respondents Hearing Site: Phoenix, Arizona James Wesley Shaw J.W. Shaw Group, Inc. Nature of the Dispute: Associated Person and Member vs. Associated Person and Non- Member REPRESENTATION OF PARTIES Claimants, Stephen Dale Bull, and Bull Capital Management, LLC n/kia Next,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Robert St. Onge and Barbara St. Onge Names of the Respondents Financial Management, Inc., an Arkansas corporation, and Harold Goibbs Case Number: 08-03050 Hearing Site: Little Rock. Arkansas Nature of the Dispute: Customer vs. Non-Members. REPRESENTATION OF PARTIES Claimants Roger St. Onge and Barbara St. Onge, hereinafter collectively refe