Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Fredericl< A. and Suzanne E. Lovejoy (Claimants) vs. E*Trade Securities, Inc. and Stephen Tachiera (Respondents) Case Number: 07-00262 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. l\/lember and Associated Person. REPRESENTATION OF PARTIES Claimants Frederick A. ("F. Lovejoy") and Suzanne E. Lovejoy ("S. Lovejoy"), hereinafter referred to as "Claimant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 05-04218 Citicorp Financial Services Corporation Names of the Respondents Hearing Site: San Juan, Puerto Rico UBS Intemational, Inc. Luciano Porzio Ignacio Altuve Rodrigo Vila Nature of the Dispute: Member v. Member and Associated Person. REPRESENTATION OF PARTIES For Citicorp Financial Services Corporation ("Citicorp"), hereinafter

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Parker Drilling Company and Thomas M. Junk, as Trustee of the Robert L. Parker Sr. and Catherine M. Parker Family Trust vs. Case Number: 07-01052 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Charies Bigbie NATURE OF THE DISPUTE Customers vs. Associated Person REPRESENTATION OF PARTIES Parker Drilling Company and Thomas M. Junk,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Judy Schulman and Murray Bieda Name of the Respondents Brookstreet Securities Corporation National Financial Services, LLC Jason Woessner Jason Zwibel Stanley C. Brooks individually and as Trustee for the Brooks Family Trust Scott S. Brooks Mark A. Atchity Julie Mains Case Number: 07-01346 Hearing Site: Boca Raton, Florida

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Timothy Lenzi and Mary Lenzi vs. Case Number: 06-05045 Hearing Site: Southfield, Michigan Names of Respondents Merrill Lynch Life Agency, Inc., Merrill Lynch, and Christopher J. Dowd NATURE OF THE DISPUTE Customers vs. Non-Members and Associated Person REPRESENTATION OF PARTIES Timothy Lenzi and Mary Lenzi ("Claimants") were represented by She

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 07-03382 Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of the Respondent: Hearing Site: Portland, Oregon Angela Jordison Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Jill B. Clarke, Esq., Rubin, For

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 07-00384 David A. Clappisi and Melanie Ann Summers Clappisi Name of the Respondents Hearing Site: Denver, Colorado AIG SunAmerica, Inc., AIG Financial Advisors, Inc., and Derek Roy Kent Nature of the Dispute: Customers vs. Non-Member, Member, and Associated Person REPRESENTATION OF PARTIES Claimants David A. Clappisi and Melanie Ann Su

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jack Kriegsman Name of the Respondents Fidelity Brokerage Services LLC Ernest Ciaccio Case Number: 07-02573 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Jack Kriegsman, hereinafter referred to as "Claimant": Jack Kriegsman, Los Angeles, California, p

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Wells Fargo Investments, LLC Name of the Respondent: John M. Hemandez Name of the Counter-Claimant: John M. Hernandez Name of the Counter-Respondent Wells Fargo Investments, LLC Name of the Third Partv Claimant John M. Hernandez Name of the Third Partv Respondent Wells Fargo Bank Case Number: 07-01087 Hearing Site: Lo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 06-01809 Morgan Stanley DW Inc. vs. Respondent Hearing Site: Phoenix, Arizona Todd Royal Smith Counter-Claimant Todd Royal Smith vs. Counter-Respondent Morgan Stanley DW Inc. Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Morgan Stanley DW I