FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00488 Robert E. Schuitz. ("Claimant") vs. Edward Wedbush, R.J. Richards. IVIichaei Gardner and Jonathan A. Carr. ("Respondents") ATTORNEYS: Claimant appeared pro se, Newport Coast, CA. For Respondents appeared in house counsel for Wedbush Morgan Securities Inc., John W. Stenson, Esq. Los Angeles, CA. NATURE OF DISPUTE: Associated Person vs. Associated Persons DATE FILED: February 2

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John W. Anderson vs. Case Number: 07-02797 Hearing Site: Minneapolis, Minnesota Name of Respondent A.G. Edwards & Sons, Inc. NATURE OF THE DISPUTE Associated Person vs. Member John W. Anderson ("Claimant") was represented by Steven E. Rau, Esq., Flynn Gasldns & Bennett, LLP, Minneapolis, Minnesota. A.G. Edwards & Sons, Inc. ("Respondenr) was rep

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Jeffrey Peltz and Antoinette Peltz vs. Case Number: 07-02938 Hearing Site: Columbus, Ohio Names of Respondents Merrill Lynch, Pierce. Fenner & Smith, inc. and Mark A. Moyer NATURE OF THE DISPUTE Customers vs. Member and Associated Person Jeffrey Peltz and Antoinette Peltz ("Claimants") were represented by Geoffrey C. Brown, Esq.. Bordas & Bord

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Pamela A. Schmidt, Individually and as Trustee of the Pamela A. Schmidt Trust U/A DTD June 14,1996 vs. Names of Respondents Raymond James Financial Sen/ices. Inc.. 1st Discount Brokerage Services, Inc., and Thomas Shian Case Number: 07-01783 Hearing Site: Minneapolis, Minnesota Customer vs. Members and Associated Person REPRESENTATION OF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimante Nancy Frasier John A. Gilchrist David Hicks Names of the Resoondente Metropolitan Life Insurance Company Douglas Crowe MetLife Securities, Inc. Case Number: 08-00668 Hearing Site: Binningham, Alabama Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Nancy Frasier ("Frasier"), John A. Gi

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03478 Michael J. Villasana Name of the Respondent Hearino Site: Miami, Florida Gloria Gomez Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Michael J. Villasana, hereinafter referred to as "Claimant": Peter J. Aldrich, Esq., Palm Beach Gardens, Florida. For Gloria Gomez, hereinafter ref

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number 07-03489 Miguel A. Falcon Marta Ortiz-Cruz Name of the Respondent Hearing Site: San Juan. Puerto Rico Citigroup Global Markets Puerto Rico Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Miguel A. Falcon ("Falcon") and Marta Ortiz-Cruz ("Ortiz-Cruz"), hereinafter collectively referred to as "Claimants"

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03199 Smith Barney, a division of Citigroup Global Maricets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Eric Chow, ("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: IWember vs. Customer DATE FILED: Novembers. 2007

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03194 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC. ("Claimant") vs. Joel Cohen, ("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. 2007

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Melanie VIosky (Claimant) v. MM Capital Management Company, Alison C. Naylor, and Brian Jensen (Respondents) Case Number: 03-00419 IHearino Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Melanie VIosky ("VIosky") hereinafter referred to as "Claimant": Darren C. Blum. Esq., Blum, Silver & S