AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Marl< A. Frommer vs. Case Number: 06-01341 Hearing Site: Chicago, lliinois Name of Respondent Lehman Brothers, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Mark A. Frommer ("Claimant" or "Frommer") was represented by William J. Serritella, Jr., Esq., Aronberg, Goldegehn, Davis & Garmisa, Chicago, Illinois.

Stipulated Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of ttie Claimant Case Number: 07-01726 Morgan Stanley & Co., Incorporated (formeriy Morgan Stanley DW Inc.) Name of the Respondent Hearing Site: Oriando, FL Charies M. Monahan, Jr. NatureonheDisputeTMe^ Person. REPRESENTATION OF PARTIES For Morgan Stanley & Co., Incorporated (formeriy Morgan Stanley DW Inc.) ("Morgan Stanley"), hereinafter refered to as

AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael Andre Teall vs. Case Number: 07-02340 Hearing Site: Chicago, Illinois Name of Respondent Fifth Third Securities, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Michael Andre Teall ("Claimant") was represented by Robert W. Mysliwiec, Esq., Robert W. Mysliwiec, PC, South Bend, Indiana. Fifth Third Se

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02790 Francis G. LaGuaite, Executor Name of the Respondent Hearing Site: Atlanta, Georgia TD Ameritrade, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Francis G. LaGuaite, Executor, appeared pro se. For Respondent TD Ameritrade, Inc.: James J. Vihstadt, Senior Counsel, TD Ameritrade Inc., Omaha,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William J. Carpenter (Claimant) vs. Ameriprise Financial Services, Inc. (Respondent) Case Number: 07-00115 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant William J. Carpenter hereinafter referred to as "Claimant": Matthew W. Woodruff, Esq., Eppenstein and Eppenstein, New York, NY. Previously represented by Theodor

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 06-04996 Citigroup Global Markets, Inc., ("Claimant") vs. Leonard Coleman, ("Respondent") ATTORNEYS: For Claimant appeared Erin E. Mac Avoy, Esq., of the firm Alonso, Andalkar & Kahn, P.C, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 14, 2006 CASE SUMMARY: Claimant alleged that Respondent breac

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02995 Citigroup Global Markets, Inc. d/b/a Smith Barney, ("Claimant") vs. Todd Smith, ("Respondent") ATTORNEYS: For Claimant appeared Catania Facher, Esq., of the firm Alonso, Andall< ar & Kahn, P.C, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 22, 2007 CASE SUMMARY: Claimant alleg

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charles Schwab & Co., Inc. (Claimant) vs. Jeffrey Sein Lin (Respondent) Case Number: 07-03004 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": Brandon K. Hemley, Esq., Charles Schwab & Co., Inc., San Francisco, CA. Respondent Jeffrey Sein Lin hereina

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Wayne D. McCullough and H. Kaye McCullough Names of the Respondents Jefferson Pilot Securities Corporation, Jane B. Smith, CFP & Associates, Inc., and Jane Bischoff Smith Names of the Third-Partv Claimants Jane B. Smith, CFP & Associates, Inc., and Jane Bischoff Smith Name of the Third-Partv Respondent James W. Barnett Case Number

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Kurt B. Rogers Sharon Rogers Name of the Respondents: Summit Brokerage Services, Inc. Shilanski & Associates, Inc. Floyd L. Shilanski Rosa C. Shilanski Case Number: 07-01262 Hearing Site: Anchorage, Alaska Nature of the Dispute: Customers vs. Member, Non-Member, and Associated Persons REPRESENTATION OF PARTIES Claimants Kurt B. Rog