FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03238 Citigroup Global Markets, Inc. ("Claimant") v. Eric Johns ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. Respondent appeared pro se, Ann Arbor, Ml. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Claimant alleged a loss incurred due to Respondent's failure to p

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02955 Valentine Valuca ("Claimant") vs. Chase Investment Services Corp. ("Respondent") ATTORNEYS: Claimant appeared pro se, Brooklyn, NY. For Respondent appeared Reid R. Broda, Esq., JP Morgan Chase & Co., Chicago, IL. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: October 11, 2007 CASE SUMMARY: Claimant alleged wrongful termination and unpaid commission. Claim Data Awa

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02238 Rachel Becker ("Claimant") vs. GKN Securities Corp., EarlyBirdCapital, Inc., David Cooper, Carl Weisman, and Firebrand Financial Group, Inc. ("Respondents") ATTORNEYS: For Claimant appeared Karen J. Van Ingen, Esq., BLS Legal Services Corp., Brooklyn, NY. For GKN Securities Corp., EarlyBirdCapital, Inc., Carl Weisman, and Firebrand Financial Group, Inc., appeared Meredith Cavalla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Howard Yee (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 07-02910 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Howard Yee hereinafter referred to as "Claimant": Alan E. Wolin, Esq., Wolin & Wolin, Jericho, NY. Respondent Citigroup Global Markets, Inc., hereinafter referred to a

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03174 Citigroup Global Marl^ets, Inc. ("Claimant") v. Antonio Tremino ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York. NY. Respondent Antonio Tremino 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

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 06-05141 Wachovia Securities, LLC Name of the Respondent Hearina Site: Los Angeles, California Lisett DiDonato-Young Counter-Claimant Lisett DiDonato-Young Counter-Respondent Wachovia Securities, LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/ Counter- Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05168 Marvin Nettles Name of the Respondent Hearing Site: Houston, Texas Citigroup Global Markets Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Marvin Nettles, hereinafter referred to as "Claimant": Thomas R. Ajamie, Esq. and C. David Mee, Esq., Ajamie LLP, Houston. Texas Respondent Cifigroup Glob

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-02997 Ignatius du Plessis Names of the Respondents Hearinc Site: Los Angeles, California Baxter, Banks & Smith, Ltd. and Frank Mandrell Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Ignatius du Plessis, hereinafter referred to as "Claimant": Pro Se, Gilbert, Arizona Respondent, Ba

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 07-01377 Paul Bush, Trustee for the Leota Bush Trust Names of the Respondents: Hearing Site: Los Angeles, California Southwest Securities, Inc., Marcel R. Frey, Mark H. Goldie, New York Life Insurance Company Nature of the Dispute: Customer v. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES Claimant, Paul Bush, Tmstee

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-07137 John M. Maniott Names of the Respondents Hearinc Site: Tampa, Florida Morgan Stanley DW, Inc. WiHiam Sid Sloan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John M. Manriott, hereinafter referred to as "Claimant": Mark A. Ossian, Esq., Park and Ossian. P.A., Cleanvater,