Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00190 AIG Financial Advisors, Inc., individually and as successor in interest to Sentra Securities Corporation Name of the Respondents Hearing Site: Boca Raton, Florida Humbert A. "Duke" Michini Paul Gaydos Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Claimant AIG Financial Advisors, Inc., in

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sheree Swanncak (Claimant) vs. TFS Securities, Inc. (Respondent) Case Number: 07-01242 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Sheree Swanncak hereinafter referred to as "Claimant": Vincent J. Imbesi, Esq., Avelino & Associates, P.C, New York, NY. Respondent TFS Securities, Inc., hereinafter referred to as

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gary J. Weglarz vs. Case Number: 06-05235 Hearing Site: Chicago, Illinois Names of Respondents Woodbury Financial Services, Inc., Donna Rae Bellamy, and Wayne M. Dennis NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Gary J. Weglarz ("Claimant") was represented by Leslie A. Blau, Esq. and Paul D. Ma

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02745 Brant Rittenhouse Snavely, III, ("Claimant") vs. The Concord Equity Group, LLC, ("Respondent") ATTORNEYS: For Claimant appeared Stacey E. Nathanson, Esq., of the firm Ellenoff Grossman & Schole, LLP, New York, NY. For Respondent appeared Barry M. Bordetsky, Esq., of the firm Law Office of Barry Bordetsky, New York, NY. NATURE OF DISPUTE: Associated Person vs. Member DATE

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02659 Todd Meldrum ("Claimant") vs. TD Ameritrade, Inc. ("Respondent") ATTORNEYS: Todd Meldrum ("Claimant") appeared pro se, Canton, OH For TD Ameritrade, Inc. ("Respondent") appeared Kelly R. Davis, Bellevue, NE NATURE OF DISPUTE: Customer v. Member DATE FILED: September 14, 2007 CASE SUMMARY: Claimant alleged that Respondent executed an order he did not place and violated trading

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul J. Livote (Claimant) vs. First Empire Securities, Inc. (Respondent) Case Number: 06-03840 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Paul J. Livote hereinafter referred to as "Claimant": Anthony Marino, Esq., Law Office of Vincent D. McNamara, East Nonwich, NY. Respondent First Empire Securities,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. (Claimant) vs. Global Credit Partners, LLC (Respondent) Case Number: 06-05062 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Susan J. Steinthal, Esq., Citigroup Global Markets, Inc., New York, NY. Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-05255 Gregory Jones Anthony Peter Guarraci Names of the Respondents Hearing Site: Atlanta, Georgia E*Trade Securities, LLC E*Trade Financial Corporation E*Trade Brokerage Holdings, Inc. ETP Holdings E*Trade Professional Trading, LLC Lightspeed Professional Trading, LLC Stephen Ehriich Nature of the Dispute: Associated P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01594 William R. Ralston Names of the Respondents Hearing Site: Little Rock, Arkansas Delta Trust Investments, Inc. Andra Dillard Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES William R. Ralston, hereinafter referred to as "Claimant," appeared Pro se. For Delta Trust Investments, Inc. ("D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03270 Russell P. Dewing Name of the Respondent Hearing Site: Tampa, Florida Citigroup Global Markets, Inc./Salomon Smith Barney/Smith Barney Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Russell P. Dewing, hereinafter referred to as "Claimant": Stephen D. Spivey, Esq., Ocala, Florida. For Citigroup Glo