Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-01014 Banc of America Investment Services, Inc. Respondent Hearing Site: Houston, Texas David S. Coffee 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, Chicago, Illinois. Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael S. O'Keefe (Claimant) vs. Ina R. Dainis and Morgan Stanley & Co., Inc. (Respondents) Case Number: 08-00950 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Customer and Member. REPRESENTATION OF PARTIES Claimant Michael S. O'Keefe hereinafter referred to as "Claimant": Christopher G. Massey, Esq., Bressler, Amery & Ross, P.C. Res

Award FINRA Dispute Resolution In the Matter of the Arbttration Between: Claimant Alvin M. Kramer TTEE Susannah Kramer TTEE FBO The Kramer Family Tmst Dated 05/25/1977 Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Bamey, Inc. and Jack B. Grubman Case Number 04-08019 Hearing Site: Los Angeles, Califomia Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Al

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-00893 Wachovia Securities, LLC Respondent Hearing Site: Phoenix, Arizona John S. Kuehl Counter-Claimant John S. Kuehl Counter-Respondent Wachovia Securities, LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Wachovia Securities, LLC CWachovia"), hereinafter refen^

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 07-02880 Michael Cooper Names of the Respondents Hearino Site: Oriando. Florida CitlStreet Advisors LLC Michael Shuckerow Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Michael Cooper, hereinafter refened to as "Claimant", appeared pro se. For CitlStreet Advisors LLC ("CitlStreet")

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-00249 William Goldstein. M.D. Name of the Respondent Hearino Site: Columbia, South Carolina Emmett A. Larkin Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William Goldstein, M.D., hereinafter refen^ed to as "Claimant": Elizabeth Zeci(. Esq., Willoughby & Hoefer. P.A., Columbia, South Carolina.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03330 Lincoln Financial Securities Corp. (consolidated with 07-03444) f/k/a Jefferson Pilot Securities Corp. Name of the Respondent Hearing Site: Boca Raton, Florida Michael S. Cohen In the Matter of the Ariaitration Between: Name of the Claimant: Case Number: 07-03444 Michael S. Cohen (consolidated with 07-03330) Name of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00576 Heather B. Lynch Names of the Respondents Hearing Site: Baltimore, Maryland Morgan Stanley & Co. Incorporated Andrew S. Martin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Heather B. Lynch, hereinafter referred to as "Claimant": Margaret Arjent, Esq., Thomas & LIbowitz, P.A., B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03487 Vincent P. Miraglia, MD, PA, Trustee, Emptoyee PS Plan dtd. 6/1/81 and Employee MPP Plan dtd. 6/1/81 Name of the Respondent Hearino Site: Boca Raton, Florida Wachovia Securities, LLC f/k/a Prudential Securities, Inc. Name of the Third Partv Respondent Dr. Vincent Miraglia, MD, Individual Nature of the Dispute: Customer vs.

Award FINRADispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05898 Melvin A. Guillory. IRA Names of the Respondents Hearing Site: New Orieans, Louisiana Citigroup Global Markete, Inc., f/k/a Salomon Smith Barney. Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Melvin A. Guillory, IRA, hereinafter referred to as "Claimant": Wil