AWARD FINRA Dispute Resolution In the Matter of the Ariaitratton Be^Meen: Name of Clalmant/Counter-Resoondent Ralph Davto Diaz vs. CaseNumt)er 07-03445 Hearing Site: Chicago, Illinois Name of Resoondent/Counter-Claimant Chase Investment Servtoes Corp. NATURE OF THgPISPUTg Associated Person vs. Member RgPRESENTATIOM OF PARTIgS Ralph Davto Diaz CCIaimanr) was represented by Mark Astarita, Esq., Beam & Astarita, LLC, Verona, New Jeraey.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Randy Smith vs. Case Number: 08-01034 Hearing Site: Dallas, Texas Names of Respondents Fluent Financial and Mitch Kramer NATURE OF THE DISPUTE Associated Pereon vs. Non-Member and Associated Pereon REPRESENTATION OF PARTIES Randy Smith ("Claimanr) was represented by David R. Clouston, Esq. and Leslye E. Moseley, Esq., Sessions, Fishman, Nath

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Phillip Rein vs. Name of Respondent Stifel, Nicolaus & Company, Inc. Case Number: 07-01495 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Phillip Rein ("Claimant") was represented by Peter Mougey, Esq., Levin. Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola. Florida.

Award FINRA Dispute Resolution In the Matter of the Aristtration Between: NameoftheClalmante: Case Number 07-03054 Maria Brezden, individually and on behalf of the Maria Brezden IRA and as Tmstee of the Brezden Family Trust John Brezden, individually and on behatt of the John Brezden IRA and as Trustee of the Brezden Family Trust Clayton W. Beck, individually on behalf of the Clayton Beck IRA Kathy Beck, individually and on behalf of the Kathy Beck

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-01196 Gary Neiens Respondent Hearing Site: Los Angeles, Califomia Citigroup Global Markets Inc. f/k/a Salomon Smith Bamey Inc. dba Smith Bamey Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Gary Neiens, hereinafter referred to as "Claimant": Maureen J. Duris. Esq., Law OfTlces of Maureen J. Duris, Sant

Award HNRA Disputa Resolution In the Matter of the Arbitration Between: Name of the Ciaimant Case Numt>er 08-01584 Donna Main Name of the Respondents Hearino Site: Los Angeles, California Wachovia Securities, U-C and Gerald Stanford Monis Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Ciaimant, Donna Main, Los Alamitos, Califomia, appeared pro se Respondent Wachovia Securities, LLC CWachovia") and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-03481 Jeannette Johnson Respondents Hearing Site: San Francisco. Califbmia Linsco/Private Ledger Corp. Jesse Gontez Jr. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Jeannette Johnson, hereinafter referred to as "Claimanf: Scott R. Shewan, Esq., Bom, Pape & Shewan, L.L.P., Clovls, Califbmia

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 07-01083 Terry L. Haines Jimmy H. Haines Respondents Hearing Site: Las Vegas, Nevada James B. Catledge John W. Thomson Christopher H. Zocicoll Investment Management Corporation Nature of the Dispute: Customers vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimants, Teny L. Haines and Jimmy H. Haines, hereinafter collectively

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Claimants Philip G. Loughman Cynthia L. Loughman Respondent Memli Lynch Pieroe Fenner & Smith inc. Case Number 08-01696 Hearing Site: Denver, Colorado Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Philips G. Ijoughman and Cynthia Loughman. hereinafter collectively refened to as "Claimants": Jeffrey J. Scott. Esq.. Scott & Asso

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant: Citigroup Global Martcets, Inc. Case Number: 08-00217 Name of the Respondent: Tommy N. Sausley Hearing Site: Houston, Texas Name of Counter-Claimant Tommy N. Sausley Name of Counter-Respondent Citigroup Global Martlets, inc. Nature of Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES C