FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03176 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC ("Claimant") v. John Patton ("Respondent") ATTORNEYS: For Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. Respondent John Patton appeared pro se, Port Saint Lucie, FL.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03172 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC ("Claimant") v. Scott Piper ("Respondent") ATTORNEYS: For Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY Respondent Scott Piper appeared pro se, Littleton, CO NATUR

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03173 Smith Bamey, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant^ vs. Bradiey Winer, ("Respondent^ ATTORNEYS: For Claimant appeared Justin Joseph D'Elia. Esq., of the fimi 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 9,2007

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Capital Markets Corp. (Claimant) vs. Charles Willis Howard (Respondent) Case Number: 08-00765 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant RBC Capital Markets Corp., hereinafter referred to as "Claimant": Anne C. Patin, Esq., Seward & Kissel LLP, New York, NY. Respondent Charles Willis Howard herein

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Allinson (Claimant) vs. Westcap Securities, Inc., Vision Securities, Inc., Glenn J. Meyer, and Scott Cusumano (Respondents) Case Number: 07-01185 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Michael Allinson hereinafter referred to as "Claimant": Christopher J. Gray, Esq., Christo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Matthew Ciaramella (Claimant) vs. Putnam Retail Management Limited Partnership (Respondent) Case Number: 07-00898 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Matthew Ciaramella hereinafter referred to as "Claimant" appeared pro se. Previously represented by John E. Sutherland, Brickley, Sears & Sore

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02834 Robert R. Gehrking and Delores J. Gehrking ("Claimants") vs. William A. Pritchard and US Bancorp Piper Jaffray ("Respondents") ATTORNEYS: Robert R. Gehrking and Delores J. Gehrking ("Claimants") appeared pro se, LaCrosse, Wl For William A. Pritchard and US Bancorp Piper Jaffray ("Respondents") appeared Dan Rosenbaum, Esq., UBS Financial Services, Inc., New York, NY NATURE OF

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Names of the Claimants Case Number: 07-00969 SunTrust Investment Services, Inc. SunTrust Bank Name of the Respondent Hearing Site: Washington, D.C. Andrew E. Hickey Nature of the Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For SunTrust Investment Services, Inc. ("STIS") and SunTrust Bank ("STB"), hereinafter collectively referred to as

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03237 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Thomas Huss, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the firm Duane Morris LLP, New York, NY. Respondent appeared pro se, Toledo, OH. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John Carl (Claimant) vs. Alliance Capital Management, L.P., Alliance Capital Management Holding, L.P., Alliance Capital Management Corporation, AllianceBernstein Investment Research and Management, Inc., AllianceBernstein, L.P., Joel Cohen, Esq., Lewis Sanders, and AllianceBernstein Investments, Inc. (Respondents) Case Number: 06-04962 Hearing Site: New York, New York Nature ofthe