Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Young Ran Kim and Soon Up Park (Claimants) vs. Prudential Equity Group, LLC, Citigroup Global Markets, Inc., Wachovia Securities LLC, Roger Henry Erichsen, and Joseph Gerard Vitetta (Respondents) Case Number: 06-01810 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Young Ran Kim ("Kim") and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Beatrice Strulowitz (Claimant) vs. Citigroup Global Markets, Inc., and Frances Goldstein (Respondents) Case Number: 07-02376 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Beatrice Stmlowitz hereinafter referred to as "Claimant": Randall J. Perry, Esq., Rutherford, NJ. Respondent Citigrou

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00022 ANJ Corporation ("Claimant") vs. Euro Pacific Capital, Inc. ("Respondent") ATTORNEYS: For Claimant appeared John Wilson, Lake Zurich, IL. Respondent Euro Pacific Capital, Inc. did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 29, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to investigate whether s

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03208 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP. LLC, ("Claimant") vs. Robert Herskowltz, ("Respondent") ATTORNEYS: ~~ For Claimant appeared Justin Joseph D'Etia, 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

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-02385 Herbert K. Lim Nony L. Luikito-Kim Lukito-Lim Family Trust Herbert K. Lim & Nony L. Lukito-Kim Jt T Respondent Hearing Site: San Francisco, California Scottrade, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimant, Herbert K. Lim, Nony L. Luikito-Kim, Lukito-Lim Family Trust, and Herbert K. Lim & No

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Douglas W. Habryl .Claimant vs. H < S R Block Financial Advisors, Inc., Respondent H & R Block Financial Advisors, Inc., Counter-Claimant vs. Douglas W. Habryl, Counter-Respondent Case Number: 07-00951 Hearing Site: Houston, Texas, Nature of the Dispute: Associated Person vs. Member Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Douglas W. Habryl,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lynn 0. Hilliard vs. Case Number: 07-01931 Hearing Site: Charieston, West Virginia Names of Respondents Wachovia Securities, LLC and Stuart L. May NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Lynn O. Hilliard ("Claimant") was represented by Ryan Shaw, Hilliard, Ohio. Wachovia Securities, LLC ("Wac

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Carol and Richard IVIarubio vs. Case Number: 06-05209 Hearing Site: Chicago, Illinois Names of Respondents MetLife Securities, Inc., James D. Sims, and Robert Thurlby NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Carol and Richard Marubio ("Claimants") were represented by Mark P. Loftus, Esq.,

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark Steven Mills, Claimant v. Southwest Texas Capital, L.L.C, and Charles Lee Gallamore, Respondents Southwest Texas Capital, L.L.C, and Charles Lee Gallamore, Counter-Claimants v. Mark Steven Mills, Counter-Respondent Case Number: 07-01075 Hearing Site: Dallas, Texas Nature of the Dispute: Associated Person vs. Member and Associated Person Member and Associated

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00542 Andrew E. Haas Name of the Respondent Hearinc Site: Los Angeles, California Bear Sterns & Co. Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Andrew E. Haas, hereinafter referred to as "Claimant": Michael Blumenfeld, Esq., Sylvia M. Scott, Esq., and Ashley Dawkins Hunt, Esq., Freeman, Fre