Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John G. and Marcia Y. Wang, Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Yuchia Lin, Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Yuchia Lin, Counter-Claimants v. John G. and Marcia Y. Wang, Counter-Respondents Case Number: 06-02011 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person Member an

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-01447 William Buechler Respondents Hearina Site: San Diego, California Wachovia Securities, LLC Wachovia Corporation Nature of the Dispute: Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant, William Buechler, hereinafter referred to as "Claimant": Brian Miller, Esq. and Brad Milove, Esq., Miller & Milove, La Jolla, C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Benjamin P. Abney, Larry Don Henry, Daryl Woodward, Trustee of the Daryl James Woodward 1995 Revocable Trust, and Stephen J. Heyman vs. Case Number: 07-00979 Hearing Site: Oklahoma, City, Oklahoma Name of Respondent Sanders Morris Harris, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Benjamin P. Abney, Larry

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jorge Gonzales (Claimant) vs. McLaughlin. Piven, Vogel Securities, Inc. (Respondent) Case Number: 08-00054 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Jorge Gonzales hereinafter referred to as "Claimant" appeared pro se. Respondent McLaughlin, Piven, Vogel Securities, Inc., hereinafter referred to as "Responden

FINRA DISPUTE RESOLUTION AWARD FrNRA DISPUTE RESOLUTION CASE: 07-03201 Citigroup Global Markets, Inc. ("Claimant") v. Barry Brinster ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. Respondent Barry Brinster did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Claimant alleged a loss in

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03127 Ruth M. Smith and William L. Smith, ("Claimants") vs. AIG Financial Advisors, Inc. and Fernando Frausto, ("Respondents") ATTORNEYS: Claimants appeared pro se, Scottsdale, AZ. For Respondents appeared Barry R. Temkin, Esq., of the firm The Law Offices of Edward Garfinkel. New York, NY. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: November 1. 2007

AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Morgan Stanley & Co., Inc. vs. Name of Respondent / Counter-Claimant Gilberta A. Dorsey Case Number. 07-01107 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Inc. ("Claimant" or "Morgan Stanley") was represented by Diane C. Fischer, Esq

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05553 William C. and Jeneanne C. Hyatt June H. and Lomax C. DeMoss Blanche E. and Bobby L. Green D. Keith Kassel and Jill M. Kassel Name of the Respondent Hearing Site: Atianta, Georgia Citigroup Global Martlets, Inc. d/b/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen Brooks (Claimant) vs. Merrill Lynch Investment Managers LP and FAM Distributors, Inc. (Respondents) Case Number: 07-01140 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Non-Member and Member. REPRESENTATION OF PARTIES Claimant Stephen Brooks hereinafter referred to as "Claimant": Ethan A. Brecher, Esq., Liddle & Robinson, L.L.P., New York,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03179 Citigroup Global Markets, Inc. ("Claimant") v. Jim Madaffer ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. Respondent Jim Madaffer did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Claimant alleged a loss incurr