Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 07-03519 Marc A. Saunders Terri Saunders Name of the Respondent: Hearina Site: Denver, Colorado Wachovia Securities, LLC Nature of Dispute: Associated Person and Non-Member v. Member REPRESENTATION OF PARTIES Claimants Marc A. Saunders and Terri Saunders, hereinafter collectively referred to as "Claimants": Kenneth B. Siegel, Esq., She

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-02897 A.G. Edwards & Sons, Inc., and Wachovia Securities, LLC Respondents Stifel, Nicolaus & Co. Inc., Samuel Slayden, Denise Gilseth Cathy McJilton, and Kelly Stromgren Counter-Claimants Samuel Slayden, Denise Gilseth, Cathy McJilton, and Kelly Stromgren, Counter-Respondents A.G. Edwards & Sons, Inc. and Wachovia Securities, LLC

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Carl D. Garrett vs. Case Number: 07-02093 Hearing Site: St. Louis, Missouri Name of Respondent Flagstone Securities, LLC NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Carl D. Garrett ("Claimant") was represented by J. Christopher Wehrle, Esq., Goldberg Wehrle, LLC, St. Louis, Missouri. Flagstone Securities, LLC

AWARD FiNI^ Dispute Resoiution In the Matter of the Arbitration Between: Names of Claimants Kim Yonkers and Linda Yonkers vs. Case Number: 07-01118 Hearing Site: Cleveland, Ohio Names of Respondents Empire Financial Group, Inc. and George Jeffers NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Kim Yonkers and Linda Yonkers ("Claimants") were represented by Andrew Stoitmann, Esq., Stoitmann L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants / Counter-Respondents James Sarkauskas, Sr. and Brokers Turn, inc. vs. Case Number: 06-04186 Hearing Site: Milwaukee, Wisconsin Name of Respondent / Counter-Claimant First Allied Securities, Inc. NATURE OF THE DISPUTE Associated Person and Non-Member vs. Member REPRESENTATION OF PARTIES James Sarkauskas, Sr. and Brokers Turn, Inc. ("Claimants") we

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lynn M. Kaufmann (Claimant) vs. A.G. Edwards & Sons, Inc., and Hayes Howell Burleson, Jr., a/k/a Hal Burleson, Jr. (Respondents) Case Number: 07-00380 Hearina Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lynn M. Kaufmann hereinafter referred to as "Claimant": John J. Washburn, Esq., Nashua, NH.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James Parascandola (Claimant) v. Barclays Capital, Inc. (Respondent) Case Number: 06-02602 Hearing Site: New York, NY Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant James Parascandola hereinafter referred to as "Claimant": Jeffrey Liddle, Esq., and Marc A. Susswein, Esq., Liddle & Robinson L.L.P., New York, NY. Respondent Barc

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03175 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC. ("Claimant") vs. Michael Myers. ("Respondent") ATTORNEYS: " " ~ " ' ' ' " For Claimant appeared Justin Joseph D'Elia, Esq., of the firm Duane Morris LLP, New York, NY. Respondent appeared pro se, Allen, TX. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 2007 CA

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CAS^: 07-02186 Robert F. Kelliher, ("Claimant") vs. Citigroup Global Markets, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Mashpee, MA. For Respondent appeared in-house counsel, Andrew H. Smith, Esq., New York, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: October 23, 2007 CASE SUMMARY: Claimant alleged that Respondent's employment records should reflect contin

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03110 Toni G. Ciarlariello, ("Claimant") vs. Merrill Lynch, Pierce. Fenner & Smith, inc.. ("Respondent") ATTORNEYS: Claimant appeared pro se. Flemington, NJ. For Respondent appeared in-house counsel Lauryn J. Hart, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: Novembers, 2007 CASE SUMMARY; Claimant alleged that Respondent recommended Investments which w