FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02570 Lewis A. Nigg ("Claimant") vs. Banc of America Investment Services, Inc. ("Respondent") ATTORNEYS: For Lewis A. Nigg ("Claimant") appeared Bruce N. Munson, Esq., Muncie, IN. For Banc of America Investment Services, Inc. ("Respondent") appeared Kiran V. Somashekara, Esq., West Orange, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 31, 2007 CASE SUMMARY: Claimant

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02677 Wells Fargo Investments, LLC, ("Claimant") vs. Daniel Voss, ("Respondent") ATTORNEYS: ~~~ " "" _ ^ For Claimant appeared Diane C. Fischer, Esq., of the firni Kane & Fischer, Ltd., Chicago, IL. For Respondent appeared Marl L. Kowalsky, Esq., of the finn Jaffe Raitt Heuer & Weiss, Southfleld, Ml. NATURE OF DISPUTE; Member v. Associated Person DATE FILED: September 18,20

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03241 Citigroup Global Markets, Inc. ("Claimant/Counterclaim Respondent") v. Peter Hirshfield ("Respondent/Counterclaim Claimant") ATTORNEYS: For Citigroup Global Markets, Inc., appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. Peter Hirshfield appeared pro se, New York, NY. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Cla

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03111 Citigroup Global Markets, Inc. and Citigroup Global Markets Holdings, Inc. ("Claimants") vs. Damien W. Lombardi ("Respondent") ATTORNEYS: For Claimants, Citigroup Global Markets, Inc. and Citigroup Global Markets Holdings, Inc., appeared W. Jerad Rissler, Esq., Kutak Rock, LLP, Atlanta, GA. Respondent, Damien W. Lombardi appeared pro se, Virginia Beach, VA. NATURE OF DISPUTE: Mem

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03198 Citigroup Global Markets, Inc. ("Claimant") v. William Chen ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. Respondent William Chen 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

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dale Croteau (Claimant) vs. First Montauk Securities Corp., Brian Keith Martinsen, and Michael inghilterra (Respondents) Case Number: 07-01438 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Dale Croteau hereinafter referred to as "Claimant": Kevin G. Diamond, Esq., Shea & Diamond, Hollist

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03189 Smith Bamey, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Michael Conrad, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the fimn Duane Morris LLP, New Yorl< , NY. Respondent appeared pro se, Los Gates, CA. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 2007 CASE SUMMARY

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Alfred J. Baker (Claimant) vs. Primex Prime Electronic Execution, inc., and Wilfredo Felix (Respondents) Case Number: 07-02178 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Alfred J. Baker hereinafter referred to as "Claimant": John E. Lawlor, Esq., Law Office of John E. Lawlor, Mineola, NY.

Award FINRA Dispute Resolution Case Number: 07-01464 Hearing Site: Boca Raton, Florida In the Matter ofthe Arbitration Between: Names of the Claimants Arvilla Lorraine Orton, Tmstee for the Arvilla Lorraine Orton 1*' Trust UA dtd 5/1/96 (a/c#LTQ-002571-N3) Byron Orton as Power of Attorney for Arvilla Lorraine Orton Names of the Respondents Capital Growth Financial, LLC d/b/a CGF Securities, LLC Alan Lawrence Jacobs Michael Sc

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 06-03334 James O'Neii Garibaldi Names of the Respondents Hearing Site: New Orieans, Louisiana A. G. Edwards & Sons, inc. Scott Edward Foreman Nature ofthe Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James O'Neii Garibaldi, hereinafter referred to as "Claimant": George F. Reiss, Esq.. Law Offices of G