Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 07-02490 The Pueblo of Zuni Tribe ResDondent Hearing Site: Albuquerque, New Mexico Citigroup Global Maricets, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant The Pueblo of Zuni Tribe hereinafter referred to as "Claimant": Mario J. Martinez, Esq., Law Offices of Mario J. Martinez, El Paso, Texas. Respondent Citigro

AWARD FINRA Dispute Resolution In the Matter of the Arbitratk>n Between: Names of Claimants Donal & Mary Demet vs. Names of Respondents Robert W. Baird & Company, Inc., Thomas M. Linn, and Richard D. Cudahy Case Number: 08-00716 Hearing Site: Milwaukee, Wisconsin 'SPUTE Customers vs. Member and Associated Persons Donal & Mary Demet ("Claimants") were represented by Paul R. Erickson, Esq., Cutglass, Erickson, Bonnvilie & Larson, S

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Mari< ets Inc. vs. Case Number 08-00620 Hearing Site: Cincinnati. Ohio Name of Respondent John M. Kopeck Associated Person vs. Member REPRESENTATION OF PARTIES Citigroup Global Martlets Inc. ("Claimanr or "Citigroup") was represented by Diane C. Fischer. Esq.. Ronald P. Kane. Esq., and D. Daxton White. Esq., Kane & Fischer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Linda I. Meyers as Executrix of the Estate of George J. Wolfgang (Claimant) vs. Leslie P. Shenkler (Respondent) Case Number: 08-00184 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Linda I. Meyers as Executrix of the Estate of George J. Wolfgang, hereinafter referred to as "Claimant": Peter S.

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) v. Warren M. Rockmacher (Respondent) Case Number: 07-00345 • Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane and Fischer, Ltd., Chic

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03461 Anthony Antonucci, ("Claimant") vs. Charles Schwab & Co., Inc.. ("Respondent") ATTORNEYS: Claimant appeared pro se, Plainview, NY. For Respondent appeared in-house counsel Brandon K. Hemley. Esq., San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 23. 2008 CASE SUMMARY: Claimant alleged that Respondent failed to execute orders to sell shares o

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03000 NoCoa Corporation, Andrew Jonathan Tressler, Todd David Altken, /Vnthony Joseph Graziano & Derel^ John Rehill. ("Claimants") vs. David 1. Carter, ("Respondent") ATTORNEYS: Claimants appeared pro $0, Farmingdale. NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTt: Non- Member and Associated Persons vs. Associated Person DATE TILED: August 26.2008

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02388 Richard A. Siegel ("Claimant") vs. Fidelity Brokerage Services LLC ("Respondent") ATTORNEYS: Claimant appeared Pro se, Teaneck, NJ. For Respondent appeared Erin K. Fair, In-house Counsel, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 14, 2008 CASE SUMMARY; Claimant alleged negligence, breach of fiduciary duty, misrepresentation/non-disclosure, and omissio

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02728 Robert Rabkin ("Claimant") vs. Dieter Erwin Thurow ("Respondent") ATTORNEYS: Claimant appeared Pro se, San Francisco, CA. For Respondent appeared Chad Weaver, Esq., Edgerton & Weaver, LLP, Henmosa Beach, CA. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: August 5, 2008 CASE SUMMARY: Claimant alleged that Respondent wrongly withheld fees on his account. Claim

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02735 Dov Elfanbaum & Deborah Elfanbaum JTWROS ("Claimants") vs. Caldwell Securities International Securities ("Respondent") ATTORNEYS: Claimant appeared Pro se, Beit Herut. Israel. For Respondent appeared Lennie S. Freiman. Fischer, TX. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 5. 2008 CASE SUMMARY; Claimants alleged gross negligence, failure to supervise, and fraud