Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edward A. Sandor and Rita D. Sandor (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 07-01928 Hearina Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Edward A. Sandor and Rita D. Sandor, hereinafter collectively referred to as "Claimants": Christopher J. Gray, Esq., Christopher J.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03178 Smith Barney, a division of Citigroup Global Mari^ets, inc. by and through its assignee DSP, LLC, ("Claimant") vs. David Pool, ("Respondenf) ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the firm Duane Morris LLP, New York, NY. Respondent did not submit an Answer to the Stetement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9,2007

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03181 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC ("Claimant") v. Alan Levande ("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 Alan Levande appeared pro se. New York, NY NATU

Award FINiRA Dispute Resolution In the Matter of the Arbitration Between: Wells Farao Investments. LLC. Claimant Case Number: 05-06100 Theodore A. Larsen. Respondent Hearina Site: Phoenix. Arizona Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Investments, LLC, hereinafter referred to as "Claimant": Greg Simon, Esq., Kane & Fischer, Chicago, Illinois. Respondent, Theodore A. Larsen, hereinafter re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Rendal Joe and Sandra Dotson vs. Name of Respondent Ameriprise Financial Services Case Number: 06-04530 Hearing Site: Charieston, West Virginia NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Rendal Joe and Sandra Dotson ("Claimants") were represented by Andrew Stoltmann, Esq., Stoltmann Law Offices, PC, Chicago, Illin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jeffrey Alecci (Claimant) vs. Michael A. Sciarra (Respondent) Case Number: 06-02728 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES Claimant Jeffrey Alecci hereinafter referred to as "Claimant": Marianne Yen, Esq., Morgan Stanley, Purchase, NY. Previously represented by Andrew Lipton, Esq., Morgan Stanley, Purcha

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02674 Martin Schule & Zelda Schule JT TEN ("Claimant") vs. Charies Schwab & Co., Inc. ("Respondent") ATTORNEYS: For Martin Schule & Zelda Schule JT TEN ("Claimant") appeared Martin Schule, Placentia, CA. For Charles Schwab & Co., Inc. ("Respondent") appeared Mai P. Klaassen, Esq., in- house counsel, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: September

FiNRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 07-02675 George S. Allen ("Claimant") vs. Citigroup Global Markets, Inc. and Mark Standard ("Respondents") ATTORNEYS: Claimant George S. Allen appeared pro se, Brooklyn, NY For Citigroup Global Markets, Inc. and Mark Standard ("Respondents") appeared Douglas B. Appel, Esq., New York, NY Citigroup Global Markets, Inc. and Mark Standard are hereinafter collectively referred to as "Respo

FiNRA DISPUTE RESOLUTION AWARD FINFtA DISPUTE RESOLUTION CASE: 07-03169 Smith Barney, a d'nrision of Citigroup Global Maricets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Michael Blum. ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the fimn Duane Moms LLP, New Yori< , NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 20

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02945 Andrew Garrett, Inc. ("Claimant") v. Samuel Cole ("Respondent") ATTORNEYS: For Claimant Andrew Garrett, Inc., appeared Revan R. Schwartz, Esq., in-house counsel, Andrew Garrett, Inc., New York, NY Respondent did not submit an answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 17, 2007 CASE SUMMARY: Claimant alleged that Respon