Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-00011 Lois A. Grant Respondents Hearino Site: San Francisco, Califomia AIG Financial Advisors, Inc. Dave S. Samuels Michael W. Sims Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant Lois A. Grant: Lois A. Grant, In Pro Se, Sunnyvale, Califbmia Respondents, AIG Financial Advisors, I

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01310 Martha L. Schallern ("Claimant") vs. Susan W. Morris and Merrill Lynch. Pierce, Fenner & Smith, Incorporated ("Respondents") ATTORNEYS: Claimant appeared Pro se, Avondale Estates, GA. For Respondents appeared Stuart T. Rebish, Esq., Bressler, Amery & Ross, P.C., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 28, 2008 CASE SUMMA

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00387 Alberto Monti, ("Claimant") vs. Max International Broker/Dealer Corp., ("Respondent") ATTORNEYS: For Claimant appeared Thomas Fleck, Bad Homburg, Germany. For Respondent appeared in-house counsel David isolano. New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 8. 2008 CASE SUMMARY: Claimant alleged that Respondent made unauthorized trades in his accoun

KINRA DISPUTE RtSOLU I ION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03209 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. David Gottlieb, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the firm Duane Morris LLP, New York. NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9,2

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: CIBC World Markets Corporation (Claimant) vs. Michael Sassano (Respondent) Case Number: 05-02827 Hearing Site: New York. New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant CIBC World Markets Corporation hereinafter referred to as "Claimant": Matthew L. Mustokoff, Esq.. Weil, Gotshal & Manges LLP. New York, NY. Previously represented

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASb: 08-00567 Neil Jon Tschetter and Peggy Jane Tschelter ("Claimants") vs. E*Trade Securities LLC ("Respondent") ATTORNEYS: For Claimants appeared Pro se. Douglas, WY. For Respondent: E'Trade Securities In-house Counsel, John Bersin. Roseville. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED Febmary 28, 2008 CASE SUMMARY: Claimants alleged that their brokerage account was compromised

FINR,\ DISPl IK RKSOLl' 1 ION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00478 Paulson Investment Company. Inc. ("Claimant") vs. Jason R. Swan ("Respondent") ATTORNEYS: For Claimant appeared Keith A. Ketterling, Esq.. Stoll. StolL Berne, Lokting & Shiachter, PC, Portland. OR. Respondent Jason R. Swan did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 20. 2008 CASE SUMMARY: Claima

FI.NRA DlSin TK RKSOLITIO AWARD FINRA DISPUTE RESOLUTION CASE: 08-01837 Ameriprise Financial Services, Inc. ("Claimant") vs. Edward Antheal Baxter ("Respondent") ATTORNEYS: For Claimant appeared Will Stute, Esq.. Faegre & Benson LLP, Minneapolis. MN. Respondent Edward Antheal Baxter did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATEFILED: June6. 2008 CASE SUMMARY: Claimant alleged that Re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants James Gill, Scott Elliot, Kris and Julie Atwood, Larry Vollmer, and Dan Emmerich vs. Case Number: 07-00438 Hearing Site: Detroit, Michigan Names of Respondents Sigma Financial Corporation and Terry L. Moffatt Customers vs. Member and Associated Person James Gill C'Giir), Scott Elliot ("Elliot"), Kris and Julie Atwood (the "Atwoods"). Lany

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00751 Jacqueline F. Paulausky and Adam P. Paulausi^y, Jr., JTWROS ("Claimant") vs. Wachovia Securities. LLC and Todd Griffith ("Respondents") ATTORNEYS: For Claimant appeared Jacqueline F. Paulausky. Clearwater, FL. For Respondents appeared in-house counsel, William S. Port, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 14. 2008