FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02586 Christine M. Powers. ("Claimant") vs. Thomas E. Schwarz, ("Respondent") ATTORNEYS: Claimant appeared Pro se, St. Louis, MO. For Respondent appeared Paula Moore, Esq., Fulbright & Jaworski, L.L.P., Dallas, TX. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: July 25, 2008 CASE SUMMARY: Claimant alleged that Respondent coerced and managed a ring of deception through

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04208 Riverstone Wealth Management, Inc., ("Claimant") vs. Jacob Stevenson Carriker, ("Respondent") ATTORNEYS: For Claimant appeared Marc L. Lippincott, Esq., Cary & Lippincott, PLLC, Austin, TX. Respondent appeared Pro se, Austin, TX. NATURE OF DISPUTE; Member vs. Associated Person DATE FILED: November 12, 2008 CASE SUMMARY: Claimant alleged breach of contract for failure to reimb

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-02895 Mark Moran Respondent Hearing Site: Phoenix. Arizona Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Mark Moran, hereinafter referred to as "Claimant": Derek C. Anderson. Esq., Michaels, Ward & Rabinovitz, LLP, Boulder, Colorado. Respon

STIPULATED AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant TIG Limited vs. Names of Respondents Wachovia Securities, LLC and Charies Daniel O'Connell, Jr. and Name of Third-Partv Claimant Wachovia Securities, LLC vs. Names of Third-Partv Respondents Lance Eric Roberts and Arista Enterprises, Inc. Case Number: 05-03288 Hearing Site: Houston, Texas NATURE OF THE DISPUTE

AWARD FINI%A Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Barbara Irsch vs. Names of Respondents WMA Securities, Inc., United Securities Alliance. Inc.. Woodbury Financial Services. Inc., and Worid Group Securities, Inc. Case Number: 06-03232 Hearing Site: Milwaukee, Wisconsin THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Barbara Irsch ("Claimant") was represented by David P.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gerald B. Sklare vs. Names of Respondents Morgan Keegan & Company. Inc. and Robert S. Elliott Case Number: 08-01242 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Gerald B. Sklare ("Claimant") was represented by Steven M. McCauley. Esq. and Charies C. Mihalek.

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stifel Nicholas & Company. Inc. vs. Name of Respondent Thomas M. Polston Case Number: 08-00463 Hearing Site: Louisville, Kentucky •HE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Stifel Nicholas & Company, Inc. ("Claimanr) was represented by Christie A. Moore, Esq., Greenbaum Doll & McDonald, PLLG. Louisville, Ke

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Shari Ackerman James E. Majerik Mary Anne Majerik Ferrell Bush Name of the Respondent Morgan Keegan & Company. Inc. Case Number: 08-01188 Hearing Site: Birmingham, Alat)ama Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Shari Ackerman ("Ackerman"). James E Majerik ("J. Majerik"). Mary Anne Majerik ("M. Ma

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01842 Ameriprise Financial Services, Inc. Name of the Respondent Hearino Site: Dallas, Texa; Juliet Ann Kiwanuka Name of Counter-Claimant Juliet Ann Kiwanuka Name of Counter-Respondent Ameriprise Financial Services, Inc. Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution in tiie Matter of the Arisitration Between: Claimants Case Number: 08-00738 Lawrence Donald Casey Lawrence DonaM Casey, IRA NoelA.Vitug,Jr. NoelA.Vitug,Jr.. 11^ Rose Vitug Bruno Schmidt and Carol Anne Schmidt individually and as JTWROS Respondents Hearing Site: San Diego, California John F. Winnick i.C.R. Financial Center, Inc. Adolf F.Kohn Charies J. Helfrich, Jr. Irene l^aria Ceroid Angele