Award FINRA Dispute Resolution In the Matter of the Ari3itFatlon Between: Claimant Case Number 06-00290 Wachovia Securities LLC Respondent Hearing Site: Phoenix, Arizona Craig E. Johnson Counter-Claimant Craig E. Johnson Counter-Respondent Wachovia Securities LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent Wachovia Securities LLC, hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-02555 Michael F. Fangman Respondents Stanley C. Brool^s Brookstreet Securities Corporation National Financial Services LLC Hearing Site: San Diego. California Nature of the Dispute: Associated Person vs. Associated Person and Members REPRESENTATION OF PARTIES Claimant, Michael F. Fangman, hereinafter referred to as "Claimant": Liam O'Bri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Agisilaos Cofinas, Fordhill Services, Ltd., et al. (Claimants) vs. Sterling Financial Investment Group, Inc. and Thomas Karidas (Respondents) Case Number: 06-05218 Hearina Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Agisilaos Cofinas ("Cofinas"), Fordhill Services, Ltd. ("Fordhill"), Global Ocea

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dan Druz (Claimant) v. Morgan Stanley Dean Witter, Inc., formerly known as Dean Witter Reynolds, Inc., George Delahanty, Richard Hayes, William Peterson, David I. Christensen. Diane Turner, and Erik Holt (Respondents) Case Number: 99-00155 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant: Case Number 07-01009 Virgei L. Smitii Respondents: Hearing Site: Dallas, Texas Southwest Securities, inc. Southwest Securities FSB LanyTate Robert McBey Daniel Leland Nature of the Dispute: Associated Person vs. Member, Non-Member, and Associated Persons REPRESENTATION OF PARTIES Claimant Virgei L. Smith ("Smith") appeared pro se: Dallas, Texas

Award FINRA Dlsputa Rasolutlon In the Matter of the Arbitration Between: Name of the Claimant Robert Drake Case Number 08-00346 Name of the Respondent Salomon Smith Bamey, inc. n/k/a Citigroup Global Markets, Inc. Hearing Site: Houston, Texas Name of Counter-Claimant Satomon Smith Bamey, inc. n/k/a Citigroup Global Markets, inc. Name of Counter-Respondent Robert Drake Nature of the Dispute: Associated Person v. Member REP

Award FINRA Dispute Resolution In the l\1atter of the Arbitration Between: Robert J. O'Brien (Claimant) vs. Riclcel & Associates, inc., Rickel Securities, inc., Ladenburg Thalmann & Co., Inc., John Sabo, Arnold Cohen, Steven Nadier, Michael Beisicy, Coleman Carven, Edward McWilliams, Joseph Fair, Kenneth Rickel, David Netkin and Deborah Krill Sachs (Respondents) Case Number: 98-00187 Hearino Site: New York, New York Nature of the Dispute: Associated Per

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dennis Mack (Claimant) vs. Cadaret, Grant & Co., inc., CP Capital Management, LLC, Matthew Smith, George McAvoy, Brenda Salmon, and Jay Salmon (Respondents) Case Number: 06-04422 Hearing Site: Albany, New York consolidated with CP Capital Management, LLC, Matthew Smith, and George McAvoy (Claimants) vs. Dennis Mack and Capital Retirement Solutions, LLC (Respondents) Case Number

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephanie Pinto, Stephanie Pinto as Trustee of the Stephen Gambino Trust, and Stephanie Pinto as Trustee of the Pinto Family Tmst (Claimants) vs. Morgan Keegan and Company, Inc. (Respondent) Case Number: 08-00521 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Stephanie Pinto ("S. Pinto"), Stephanie Pinto as Trust

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00366 Joel and Christine S. Kopel, as Trustees for the Kopel Family Foundation Charitable Remainder Trust, U/A 3/15/06 Names of the Respondents Hearing Site: Oriando, Florida Morgan Keegan & Co., inc. Regions Financial Corp. Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Joel and Christ