Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Clifford Bartlett, III (Respondent) Case Number: 08-00918 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc.. hereinafter referred to as "Claimanf: Kenneth O'Connor,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul Himmelstein (Claimant) vs. ING Financial Partners, Inc., successor to, Washington Square Securities. Inc. (Respondent) Case Number: 06-02156 Hearina Site: Hartford, Connecticut Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Paul Himmelstein ("Claimant"): Matthew Dallas Gordon, Esq., Law Office of Matthew Dallas Gordon, West Hartford

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Roberto Redondo and Paulina Malo (Claimants) vs. Goldman Sachs & Co. (Respondent) Case Number: 07-01421 Hearina Site: New York, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Roberto Redondo ("Redondo") and Paulina Malo ("Malo"), hereinafter collectively referred to as "Claimants": Steven R. Pounian, Esq., Kreindler & Kreindie

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Garrett Going (Claimant) vs. Syndicated Capital, Inc., Lloyd McAdams, and Faith Lee (Respondents) vs. Robert Gillin and Brian P. King (Third-Party Respondents) Case Number: 04-06761 Hearina Site: New York, New York Nature of the Dispute: Initial Claim: Associated Person vs. Member and Associated Persons. Third-Party Claim: Member and Associated Persons vs. Associated Persons.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Metropolitan Life Insurance Company (Claimant) vs. Mitch Doren, Phyllis Killeen, Richard Gilman. William Cratty. Robert Murphy, Jr., Erich Ingram, William LeClair, Adam Sherman, Tom Curran, Brian Doherty, Dan Curran, Alex Doren, The Guardian Life Insurance Company of America, Park Avenue Securities, LLC, a wholly owned subsidiary of The Guardian Life Insurance Company of America (Respo

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Inc. (Claimant) vs. Saul Kaminsky (Respondent) Case Number: 08-00218 Hearina Site: New York, New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTiES Claimant Merrill Lynch. Pierce, Fenner & Smith hereinafter referred to as "Claimant": Steven G. Leventhal, Esq., Leventhal & Sliney. LLP, Roslyn, NY. Respondent Saul Kam

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Roger D. Coyle (Claimant) vs. Ameriprise Financial Services, Inc. f/k/a American Express Financial Advisors, Inc. (Respondent) Case Number: 07-03246 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTiES Claimant Roger D. Coyle hereinafter referred to as "Claimant": Jonathan Kord Lagemann, Esq., and Jonathan D. Berg, E

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02910 Michelle L. Napoli ("Claimant") vs. Fidelity Brokerage Services, LLC ("Respondent") ATTORNEYS: Claimant appeared Pro se, Tucson, AZ. For Respondent appeared In-house Counsel, Paula M. McManus, Esq., Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 14, 2008 CASE SUMMARY: Claimant alleged unauthorized sale of her Roth IRA, Vanguard International Value Fund,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02434 Boris Shteyngart, ("Claimant") vs. Mercer Capital Ltd., Anthony John Salino and Leonard Cleophas Demers ("Respondents") ATTORNEYS: For Claimant appeared Michael Utilla, Esq., of the firm Utilla & Associates. Brooklyn, NY. For Respondents appeared Stephen B. Wexler, Esq.. of the firm Burkhart Wexker & Hirschberg, LLP. Garden City, NY. NATURE OF DISPUTE: Associated Person vs. M

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02256 Trident Partners Ltd., ("Claimant") vs. Robert Michael Obracanik, ("Respondent") ATTORNEYS: For Claimant appeared Ellen R. Storch, Esq., of the fimn Moritt Hock Hamroff & Horowitz LLP, Garden City. NY. Respondent appeared pro se, Gilbert, AZ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 3, 2008 CASE SUMMARY: Claimant alleged that Respondent failed to repay