Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Prestige Financial Center, Inc. (Claimant) vs. Christopher Richard Fallo (Respondent) Case Number: 07-03003 Hearino Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Prestige Financial Center, Inc., hereinafter referred to as "Claimant": Brian H. Reis, Esq., Law Offices of Brian H. Reis, New York, NY. Respondent Chr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fred S. Betman (Claimant) vs. TD Ameritrade, Inc. (Respondent) Case Number: 08-01321 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Fred S. Betman hereinafter referred to as "Claimant" appeared pro se. Respondent TD Ameritrade. Inc., hereinafter referred to as "Respondent": James J. Vihstadt. Esq., TD Ameritrade,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stanley D. Pomichter (Claimant) vs. Goldman Sachs & Co.. and Goldman Sachs Group. Inc. (Respondents) Case Number: 07-02913 Hearing Site: Hartford, Connecticut Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Stanley D. Pomichter hereinafter referred to as "Claimant": Bruce Day, Esq., and Tara A. LaClair, Esq., Day Edwards Pr

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert Roulette and Sharon Roulette vs. Name of Respondent Menill Lynch^ Pierce, Fanner & Smith, Inc. Case Number 07-02363 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTe Customers vs. Memt}er REPRESEMTATIQII OF PARTIES Robert Roulette and Sharon Roulette ("Claimants") were represented by R. George Burnett, Esq., Liebmann. Conway,

Award FINRA Dispute Rasolution In the Matter of the Arbitration Between: Claimants Judith L. Chiosao Glass, Trustee of The Judith L. Chiosso Glass Trust, And Judith L. Chiosso Glass, IRA Respondents Stanley C. Brooks Kyle R. Christensen Janet Lynn Ross William Betta, Jr. Russell M. Kautz National Financial Sendees LLC Brookstreet Securities Corporatton Counter-Claimant Natk>nal Financial Services LLC Counter-Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 07-01978 Mondofin Inc. Mondofin Inc. No. 1 Mondofin Inc. No. 6 Mondofin Inc. No. 11 Mondofin Inc. No. 12 Mondofin Inc. No. 13 Mondofin Inc. No. 23 Mondofin Inc. No. 24 Mondofin Inc. No. 33 Respondent Hearing Site: San Diego, Califomia Morgan Stanley DW Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant: Jason L. Laney Name of the Respondent: Wachovia Securities, Inc. n/l^a Wachovia Securities, LLC Case Number: 05-05018 Hearino Site: San Francisco, California Name of Counter-Claimant: Wachovia Securities, Inc. n/k/a Wachovia Securities, LLC Name of Counter-Respondent: Jason L. Laney Nature of Dispute: Associated Person v. Member

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03230 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Alfredo Grandal Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc.. hereinafter referred to as "Claimant": D. Daxton White, Esq., Kane & Fischer, Ltd

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Basil A. i^^anyshow. Individually and as Trustee for the Basil A. Manyshow Profit Sharing Plan vs. Case Number: 07-02941 IHearing Site: Pittsburgh. Pennsylvania Name of Respondent Citigroup Global Markets, Inc. MATURE OF THE DISPUTE Customers vs. Member REPRESENTATION QF PARTIES Basil A. Marryshow ("Manyshow"). individually and as Trustee

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Citigroup Global Markets, inc. vs. Name of Respondent Dewey D. Steffen Case Number: 08-00291 Hearing Site: Southfield, Michigan Member vs. Associated Person Citigroup Global Markets. Inc. ("Claimant") was represented by Gregory B. Simon, Esq., and Diane C. Fischer, Esq.. Kane & Fischer, Ltd., Chicago, Illinois. Dewey D. Steffen ("Respondent") wa