Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number. 07-03470 Daniel Huriey Name of the Respondents: Hearing Site: San Diego, Califbmia Northeast Securities, Inc. Marie J. Moskowitz Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Daniel Huriey: Paul W. Thomas, Esq., Thomas & Atale. L.L.P., Cartsbad, California Respondent Northeast Securi

Award FINRA Dispute Resolution In the Matter of the Ari^itratbn Between: Name of the Claimant Case Number 07-01144 Judith Fogei Name of the Respondents: Hearing Site: Los Angeles, Califbmia Marc L. Tucker Financial West Group, Inc. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Judith Fogel hereinafter referred to as "ClaimanT: Joseph S. Fogel, Esq., Fogei & Associates, Sherman Oaks, Calif

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 08-00973 Sun Li Name of the Respondent: Hearinc Site: San Francisco, Califbmia Jeff Clark Nature of the Dispute: Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimant Sun Li hereinafter referred to as "Claimanf: Robert M. Lubin, Esq., Law Office of Robert M. Lubin, San Mateo, Califbmia Respondent Jeff Claris herein

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Shirley Hurd and Shirley H. Hurd Family Tnjst vs. Case Number: 07-02572 Hearing Site: Omaha, Nebraska Names of Respondents Citigroup Global Markets, Inc., Teri R. Wilson, and Terrence T. Devlin NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Shirley Hurd and Shirley H. IHurd Family Trust (

FINRA DISPLTL RESOIATION .\WARI) FINRA DISPUTE RESOLUTION CASE: 08-01062 Avalon Partners, Inc. ("Claimant"} vs. Edgar Olmeda ("Respondent") ATTORNEYS: For Claimant appeared Jonathan Kurta, Esq., Sichenzia, Ross, Friedman & Ference, LLP, New York, NY. Respondent Edgar Olmeda did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: AprlMO. 2008 CASE SUMMARY: Claimant alleged that Respondent br

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kathleen M. VIgiano and Maria Vigiano (Claimants) vs. Robert J. Kennedy 11^ Walnut Street Securities, Inc., and Robert J. Kennedy & Associates a/k/a Robert J. Kennedy & Associates. Inc. (Respondents) Case Number: 07-03584 Hearing Site: New York, New York Nature or the uispute: customers vs. Associaiea Kerson, iviemoer, ana won-rviemDer. REPRESENTATION OF PARTIES Claimants Kathl

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01414 Clarence G. Rinderle ('Claimant') v. Fidelity Brokerage Services, LLC and Karen Finerman ("Respondents") ATTORNEYS: Claimant appeared Pro se, Vincennes, IN. For Respondent Fidelity Brokerage Services LLC appeared In-house Counsel, Diane M. Brown, Esq., Boston, MA. For Respondent Karen Finerman appeared Barry R. Goldsmith, Esq., Gibson, Dunn & Crutcher LLP, Washington, DC.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01223 Arnold Michael Allen ("Claimant") vs. Fidelity Brokerage Services LLC ("Respondent") ATTORNEYS: Claimant appeared Pro se, Reno. NV. For Respondent appeared In-house Counsel, Erin K. Fair, Esq., Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 22, 2008 CASE SUMMARY: Claimant alleged a loss as a result of cancellation of a trade. Claimant maintained that due

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00200 Angela N. Holifield Sarah Frierson, as Trustee of the Reese M. Holifield Marital Beneficiary Trust Agreement Names of the Respondents Hearing Site: Birmingham, Alabama Merrill Lynch Pierce Fenner & Smith, Inc. Danny Cassady (Deceased) Nature of the Dispute: Non-Member vs. Member and Associated Person. REPRESENTATION OF PA

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCiainiant Case Number: 07-03302 PNC Investments, LLC Names of the Respondents Hearing Site: Wilmington. DE Victor D. Loper Lonyae Loper Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For PNC Investments. LLC ("PNC"), hereinafter refened to as "Claimant": Brian A. Cadis. Esq.. Staric & Stark. Princeton, NJ. Victor D. Loper and Lonyae L