Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Brothers Oil & Gas, Inc. and Barry W. Blank Respondents Sterne, Agee & Leach, Inc., Tradition Asiel Securities, Inc. and James G. Rizzo Case Number: 07-02456 Hearina Site: Phoenix, Arizona Nature of the Dispute: Customer and Associated Person vs. Members and Associated Person REPRESENTATION OF PARTIES Claimants, Brothers Oil & Gas ("Brothers Oil")

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01131 Betty Jean Taylor Name of the Respondents Hearing Site: Dallas, Texas National Planning Corporation, Brookstreet Securities Corporation, and James Hampton Simmons, Jr. Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant Betty Jean Taylor, hereinafter referred to as "Claimant": Sh

Award FINFtA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 07-01653 Steven E. Quint Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Joseph C. Denicola Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Steven E. Quint, hereinafter referred to as "Claimant": Randall C. Place, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02934 Andrew Aragona Name of the Respondent Hearinc Site: Ft. Lauderdale, Florida Wachovia Securities Financial Network Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Andrew Aragona, hereinafter referred to as "Claimant": Arthur C. Koski, Esq., The Law Offices of Arthur C. Koski, P.A., Boca Raton, Flor

Award FINRA Dispute Resolution In the Matter ofthe Arisitration Between: Name of the Claimant Case Number: 07-01446 Susan Greco, on behalf of the IRA f/b/o Susan Greco Name of the Respondent Hearino Site: Tampa, Florida Kovack Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Susan Greco, on behalf of the IRA, f/b/o Susan Greco, hereinafter referred to as "Claimant": C. Richard Mancini, Esq.. Henderso

AWARD FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of Claimant/Counter-Resoondent Wells Fargo Investments, LLC vs. Case Number: 05-06273 Hearing Site: IHouston, Texas Name of Resoondent/Counter-Ciaimant/Third-Partv Claimant Laura M. Rowley vs. Names of Third-Partv Respondents James Neville Jackson and William Colin Seibert NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES W

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Thomas C. Powers vs. Case Number: 05-00505 Hearing Site: Chicago, Illinois Names of Resoondents/Counter-Claimants New England Life Insurance Company, New England Securities, and Metropolitan Life Insurance Company NATURE OF THE DISPUTE Associated Person vs. Members and Non-Member REPRESENTATION OF PARTIES Thomas C. Powers

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Charles R. Cariello and Marie Cariello (Claimants) vs. Wallstreet Electronica, Inc., Frank Donnauro, Marco Gulino, Carlos Francisco Otalvaro, and Christopher Jolly (Respondents) Case Number: 07-01816 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Charles R. Cariello ("C. Cariello") and Mari

Award FINRA Dispute Resolution In tlie Matter ofthe Arbitration Between: Daniel J. Dart (Claimant) vs. Pioneer Funds Distributor, Inc., Pioneer Investment Management, Inc., and Pioneer Investment Management USA, Inc. (Respondents) Case Number: 06-04399 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Daniel J. Dart hereinafter referred to as "Claimant": Dan Drisco

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: UMann Fund Management, LLC, Paul Umansl^y and Jeffrey Mann (Claimants) vs. Triumph Global Securities, Ltd. (Respondent) Case Number: 07-01902 Hearing Site: New Yorl< . New York Nature of the Dispute: Non-Member and Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants UMann Fund Management, LLC ("UMann"), Paul Umansky ("Umansky"), and Jeffrey Mann ("Mann"), hereinaf