AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ptanco Financial Services, LLC vs. Names of Respondents Sarah Habitz and Sean Ritchlln Case Number: 06-03243 Hearing Site: Southfield, Michigan Member vs. Associated Persons Planco Financial Services, LLC ("Claimant") was represented by Kristen Isaacson Spano, Esq., and Marie T. Boonstra, Esq,, Miller, Canfield, Paddock and Stone, PLC. Detroit,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Patricia M. Sharp (Claimant) vs. B-Trade Sen/ices, Greg Brennan, and Charles Rappold (Respondents) Case Number: 08-00007 Hearing Site: New York, New Yorl< Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Patricia M. Sharp hereinafter referred to as "Claimant" appeared pro se. Respondents B-Trade Services ("B-Trade"),

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: ceo Investment Services Corp. (Claimant) v. Kenneth L. Cusse. Jr. (Respondent) Case Number: 08-01785 Hearino Site: Buffalo, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant CCO Investment Services Corp., hereinafter referred to as "Claimant": David M. Belcher, Esq., and Christine R. Fitzgerald, Esq., Belcher, Starr & Fitzgerald LLP,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-00685 Dennis Rosenstock Respondent Hearing Site: Los Angeles, Califbmia UBS Financial Services, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Dennis Rosenstock, hereinafter referred to as "Claimant": James D. Portman, Esq., The Portman Law Firm, PC, Calabasas, Cal'rfomia. Respondent, UBS Financial Services,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Elliott Haines III Names of the Respondents Citigroup Global Mariiets Inc., 1l\da Salomon Smith Bamey Inc. Jack B. Grubman Case Number 04-05979 Hearina Site: Baltimore, Maryland Nature of the Dispute: Customer vs. Memt)er and Associated Person. REPRESENTATION OF PARTIES For Elliott Haines 111, hereinafter refen^ to as "Claimant": William B.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-02967 Albert Sims and Mindy Sims Names of the Respondents Hearing Site: Washington. D.C. A.G. Edwards & Sons. Inc. Nancy Balcer Nature of the Dispute: Customer vs. I\^ember and Associated Person. REPRESENTATION OF PARTIES For Albert Sims and Mindy Sims, hereinafter collectively referred to as "Claimants": Albert Sims, Fairfax Stati

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03162 Robert F. Archer and ina Rae Archer William J. Ariow and Clara 8. Ariow Hazel M. Atterberry Travis E. Atterberry James C. Bailey Ann W. Bail George Brown ill and Shiriey G. Brown R. Brentwood Bryan Cari D. Burns John E. Cahoon and Ann V. Cahoon William B. Chambiess Kenneth D. Cross Eiroy R. Duia

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 08-00805 Hearing Site: Cleveland, Ohio Name of Respondent Robert W. Berry NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Wachovia") was represented by Renan Sugamian, Esq., Chicago, Illinois. Robert W. Beny ("Berry") was represented by Christop

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05275 Joseph E. Webber Names of tiie Resoondente Hearina Site: Tampa, FL Citigroup Global Markets, Inc., flkia Salomon Smitii Barney, Inc. Jack B. Gmbman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph E. Webber, hereinafter referred to as "Claimant": William B. Young, Jr.. E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01615 Nancy Lifter Wolin Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Nancy Lifter Wolin, hereinafter referred to as "Claimanf: Luis F. Blason, Esq., North Miami Beach, Florida, until his withdrawal as counsel on December 4