FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03187 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC ("Claimant") v. John Gorman ("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 did not submit an answer to the Statement of Claim.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03171 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP. LLC, ("Claimant") vs. John Stein, ("Respondent") 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 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: Names of Claimants William Dal Berry, Peggy J. Berry, and the DBPJ Family Limited Partnership vs. Case Number: 03-00161 Hearing Site: Dallas, Texas Names of Respondents Men-ill Lynch, Pierce, Fenner & Smith, Inc., David H. Komansky, and Deepak D. Raj NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES William Dal B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dennis Chiaino and Mary Ann Chiaino (Claimants) vs. Stephen Berry, Janney Montgomery Scott, LLC, and First Montauk Securities Corp. (Respondents) Case Number: 07-01977 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Person and Members. REPRESENTATION OF PARTIES Claimants Dennis Chiaino and Mary Ann Chiaino hereinafter collectively referred to as

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Todd Greenbaum (Claimant) vs. Hapoalim Securities USA, Inc., as successor in interest to Investec (US) Incorporated (Respondent) Case Number: 07-02620 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Todd Greenbaum hereinafter referred to as "Claimant": Brian Kennedy, Esq., New York, NY. Hapoalim Securit

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03186 Smith Barney, a division of Citigroup Global Marl< ets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Barry Do, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the finn Duane Morris LLP, New Yorl< , NY. Respondent appeared pro se, San Jose, CA. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Clai

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 07-02929 David H. Ni, ("Claimant") vs. National Financial Services LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se, Rockville, MD. For Respondent appeared Gary T. Grassey, Esq., of the firm FI\/IR LLC, Boston, MA. NATURE OF DISPUTE: Customer vs. IVIember DATE FILED: October 11, 2007 CASE SUI\/IMARY: Claimant alleged tiiat Respondent failed to execute an order to sell siiares o

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00293 JoAnn D. Wessel On Behalf of the JoAnn D. Wessel IRA; and JoAnn D. Wessel On Behalf of the Dale V. Wessel IRA Name of the Respondents Hearing Site: Reno, Nevada Associated Securities Corp. Patricia Meidell Laif Meidell Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Name of the Claimant Christopher Houchin Name of the Respondents Ehrenitrantz King Nussbaum, Inc. Vincent Bentivegna Name of the Counter-Claimant Ehrenlcrantz King Nussbaum, Inc. Name of the Counter-Respondent Christopher Houchin Case Number: 04-04060 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person M

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00803 A.G. Edwards & Sons, Inc. Name of the Respondent Hearing Site: Los Angeles, California Thomas Joseph McGowan Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES Claimant, A.G. Edwards & Sons, Inc., hereinafter referred to as "Claimant": Dennis J. Capriglione, Esq., A.G. Edwards & Sons, Inc., SL Louis, Missouri and D