Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03860 Larry J. Muehlstein, individually and also on behalf of his IRA Names of the Respondents Hearina Site: Oriando, FL Raymond James Financial Services, Inc. George P. Jackson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Larry J. Muehlstein, individually and also on behalf of his I

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ischemia Research and Education Foundation, Claimant vs. Goldman, Sachs and Company, Respondent Case Number: 03-07132 Hearing Site: Seattle. Washington Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Alan C. Friedberg, Esq., Pendleton Friedberg Wilson & Hennessey Denver, Colorado. For Respondent: Michael J. Lawson, Esq., Morgan Lewis & Boc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 06-05156 Carlos Robledo Name of the Respondent {Hearing Site: Boca Raton, Florida Morgan Stanley DW Inc. d/b/a Morgan Stanley Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Carlos Robledo, hereinafter referred to as "Claimant": Jeffrey Erez, Esq., Sonn & Erez, PLC, Fort Lauderdale, Florida. For Morgan Stan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Janeen A. Sudaka-Karlsson (Claimant) vs. Linus G. Cooke, John D. Olson, Eric W. Peske, Lisa M. Feld, Richard L. Ecklund a/k/a Richard Alan Petit, Maria R. Frattaroli, Marcelo Ippoliti, Arthur Auch, Kelly A. Walsh, James E. Ducey, Karen Siannas, Thomas Duddie, Katherine M. Ferraro, Sidney Goldman, Philip J. Gullo, Jelmena Orinthia Hudson, Catherine M. Maguire, James Lombardi, Christine

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Armin Schaper, Elizabeth Schaper, Exeutor, and Ethel Schaper, Elizabeth Schaper, POA (Claimants) vs. Patricia McGinley, James E. Ducey, and James Lombard! (Respondents) Case Number: 06-04197 Hearina Site: New York, New York Consolidated With Elizabeth Schaper (Claimant) vs. Patricia McGinley, James E. Ducey, Renuka S. Nayar, and Smith Barney a/k/a Citigroup Global Mar

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laurence Lowenschuss, individually, and Fred Lowenschuss, individually and as Trustee, f/b/o the Alan Lowenschuss Trust UAD 1/24/89 and the Edward Lowenschuss Trust UAD 1/24/89, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Sanford I. Weill, Kevin J. McCaffrey, John B. Hoffmann, Jack B. Grubman, Robert A. Waldman, Joseph M. Friedman, Respondent

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01888 Roger W. Moore Name of the Respondent Hearina Site: Boise, Idaho H.D. Vest Investment Services a/k/a H.D. Vest Investment Securities Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Roger W. Moore, hereinafter refen-ed to as "Claimant": Richard B. Fosher, Esq., SimmonsCooper, LLC, East Alton, Illinois

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Richard J. Moody, Individually and as Trustee of the Richard J. Moody Revocable Living Trust and as Personal Trustee of the Estate of Judith L. Moody, Brenna Lynn Michaels, Individually, Kyle Moody, Individually, Ryan Moody, Individually, and Kevin J. Moody, Individually vs. Case Number: 06-01656 Hearing Site: Oklahoma City, Oklahoma Name of Respo

f INRA DISPUTE RESOLUTKW AWARD FIKRA DISPUTE RESOLUTION CASE: 07-02808 Jennifer K. Coradi, ("Claimafif^ vs. Fidelity Brokerage Servtees LLC, ("Reapondenf) ATTORHEYS: Claimant appeared pro se, Murrefls Infet, SC. For Respondent appeared in-house counsel Susan Node, Boston, MA. NATURE OF DISPUTE: Customer vs. Memt>er DATE FILED; September 28.2007 CASE SIAAMM^Y: ClainrKant i^leged that Respondent failed to transfer hjnds in a Hmely manner. Clahnant

Amended Award FINRA Dispute Resolution In the Matter of the .Arbitration Between: Marguerite Ryan (Claimant) vs. Anthony Otto DeGregorio Sr., Ameriprop, Inc., and Steven Douglas Klein (Respondents) Case Number: 04-00504 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Marguerite Ryan hereinafter referred to as "Claimant": William H. Roth, Esq., Wechsler & Cohen, LL