Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-01888 Julio C. Postlgo & Vivian Postlgo TTEE, Julio C. Postlgo Revoc LIVTR U/A DTD 11/29/91 Vivian Postlgo & Julio C. Postlgo TTEE, Vivian Postlgo LIVTR U/A DTD 10/23/97 Julio C. Postlgo, IRA Rollover Name of the Respondent Hearino Site: Boca Raton, Florida Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Markets, Inc. vs. Case Number: 08-00465 Hearing Site: Chicago, Illinois Name of Respondent Christopher Brooks Farley NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant") was represented by D. Daxton White, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Chris

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Texakoma Financial, Inc. vs. Case Number: 08-04228 Hearing Site: Dallas, Texas Name of Respondent Trent Trubenbach NATURE OF THE DISPUTE Member vs. Associated Person RgPRESENTATIQN OF PARTIES Texakoma Financial, inc. ("Claimant") was represented by Barry F. Cannaday, Esq., Sonnenschein, Nath & Rosenthal LLP, Dallas, Texas, and Cheryl Jerome Moor

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Diana Landau, as Trustee for the Laura E.A. Forrester Hearell Revocable Trust vs. Name of Respondent Morgan Keegan & Company, Inc. Case Number: 08-01276 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Diana Landau, as Trustee for the Laura E.A. Forrester Hearell Revocable Trust ("Clai

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Thomas Guastello vs. Case Number: 08-01819 {Hearing Site: Detroit, Michigan Names of Resoondents Smith Barney, a division of Citigroup Global Markets, Inc. and Shawn C. Bun- NATURE OF THE DiSPUTE Customer vs. Member and Associated Person REPRESENTATiON OF PARTIES Thomas Guastello ("Claimant") was represented by Joseph H. Spelgel. Esq., Joseph H.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Walter Lion and Hanni L. Lion (Claimants) vs. Morgan Keegan & Company. Inc. (Respondent) Case Number: 08-01675 Hearing Site: New York, New Yorl< Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Walter Lion ("W. Lion") and Hanni L. Lion ("H. Lion"), hereinafter collectively referred to as "Claimants": Steven B. Caruso, Esq.. and Mark E. Maddox, Es

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vincent T. Lowry (Claimant) vs. Robert McMahon, Jr. (Respondent) vs. Michael Spokony (Third Party Respondent) Case Number: 06-02690 Hearina Site: Philadelphia. Pennsylvania Nature of the Dispute: Associated Person vs. Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Vincent T. Lowry hereinafter referred to as "Claimant": Jean Hanna Bickhart, Esq., McC

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04681 Oppenheimer & Co., Inc., ("Claimant") vs. Daniel D. Cialini, ("Respondent") ATTORNEYS: For Claimant appeared John McGuire, Esq., In-house Counsel, New York. NY. Respondent Daniel D. Cialini did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: December 10. 2008 CASE SUMMARY: Claimant alleged that Respondent failed and refu

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03893 Robert L. Regenold, ("Claimant") vs. Morgan Keegan & Company, inc., ("Respondent") ATTORNEYS: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap & Associates LLC, Atlanta, GA. For Respondent appeared Matthew W. Mclnteer, Esq., Bass, Berry & Sims PLC, Nashville, TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 23, 2008 CASE SUMMARY: Claimant all

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Saquana Fowler (Claimant) vs. J.P. Tumer & Company, LLC, Ian Bynoe. and Damascus Isaiha Lee (Respondents) Case Number: 08-00338 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Saquana Fowler hereinafter referred to as "Claimant": Paul Radvany, Esq., Supen/ising Attomey of Law Students: Eliot