Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kurt 5. Lichtman (Claimant) vs. RBS Greenwich Capital (Respondent) Case Number: 08-000732 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Kurt 8. Lichtman hereinafter referred to as "Claimant": Jeffrey L. Liddle. Esq., Liddle & Robinson, LLP, New York, NY. Respondent RBS Greenwich Capital hereinafter referr

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04339 Darrja Elizabeth Kosich, ("Claimant") vs. Wachovia Securities LLC and David C. Nelson, ("Respondents") REPRESENTATION OF PARTIES: Claimant appeared pro se, San Francisco, CA. For Respondents appeared Deirdre Wolff, Esq., In-house Counsel, Wachovia Securities LLC. St. Louis. MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: November 19. 2008 CASE SUMMA

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Thomas Moran Names of the Respondents Joseph Vella Martha Obeldobel f/k/a Martha Vella Luellen Young, individually Luellen Young, as surviving spouse of Richard Young, deceased Prudential Equity Group, LLC Case Number: 08-01182 (consolidated with 08-01183) Hearing Site: Tampa, Florida In the Matter of the Arbitration Between: Name of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02004 Wachovia Securities, LLC Name of the Respondent Hearing Site: Washington. D.C. Joseph A. Connor, IV Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC ('Wachovia"), hereinafter refen^ to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arilngton. VA.

Award FINRA Dispute Resolution In the Matter of the Art)rtration Between: Name of Claimants Case Number: 99-04694 Suryakant D. Patel & Sushlla S. Patel Name of the Respondents Hearing Site: Phoenix, Arizona First Wall Street Corp.; Drew D.Chalmers; Charles P. Lazzaro and Bart)ara J. Ralston Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants. Suryakant D. Patel & Sushila S. Patel here

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of the Claimant Case Number: 08-00539 Arun K. Chaudhuri Name of the Respondent Hearing Site: Los Angeles. Califomia Rod Gonzales; Jason R. Tellinghuisen; Richard Chun and Jeff S.Smith Nature of the Dispute: Customer vs. Associated Persons REPRESENTATION OF PARTIES Claimant Arun K. Chaudhuri: pro se, Rancho Palos Verdes, Califomia Respondents, Rod Gonzal

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Lany Stephen Wilbanks vs. Name of Respondent Hancock Securities Group. LLC Case Number: 08-04666 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Lany Stephen Wilbanks ("Claimanr) was pro se. Hancock Securities Group. LLC ("Respondent") was represented by Donald J. Mehan, Jr., Esq.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Maricets, Inc. vs. Case Number: 08-00670 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Peter W. Thompson NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Maricets, Inc. ("Claimant" or "Citigroup") was represented by Kevin B. Walker, Esq., McElroy Deutsch Muivaney & Carpente

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03052 Thomas E. Cusack Name of the Respondent Hearing Site: Washington. D.C. Charles Schwab & Co., inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Thomas E. Cusack, hereinafter refered to as "Claimant": John P. Connolly, Esq.. Alexandria. VA. For Charles Schwab & Co.. Inc. ("Schwab"), hereinafter ref

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-03042 Richard H. Ross J. Stephen Ross Names of the Respondents Hearing Site: Jackson, Mississippi E*Trade Securities LLC Chris Eriewine Curtis RItter Rod Webb Laura Crawford Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard H. Ross and J. Stephen Ross,