Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jean Locascio and Sandy White (Claimants) vs. Trident Partners, Ltd.. and Raymond Burghard (Respondents) Case Number: 07-01431 Hearina Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jean Locascio ("Locascio") and Sandy White ("White"), hereinafter collectively referred to as "Claimants": Seth E. Li

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01760 Esdras Vera Name of the Respondent Hearinq Site: San Juan, Puerto Rico Citicorp Financial Services Corp. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Esdras Vera, hereinafter referred to as "Claimant": Marc A. Susswein, Esq., Liddie & Robbinson, LLP, New York, New York. Citicorp Financial Servi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04120 Genevieve Norvelle Smith Name of the Respondent Hearing Site: Birmingham, Alabama Citigroup Global Marl^ets, Inc. Nature of the Dispute: Associated Person vs. IVIember. REPRESENTATION OF PARTIES For Genevieve Norvelle Smith, hereinafter referred to as "Claimant": Raymond Nardo, Esq., Raymond Nardo, Attorney at Law, IVIineola, New Y

Award FINRA Dispute Resolution In the iVIatter of the Arbitration Between: Names of the Claimants Case Number: 06-04970 Jerry Brown Pat Brown Lonnie Brown Nettie Brown Names of the Respondents Hearina Site: New Orieans, Louisiana Citigroup Global Markets, inc. f/l< /a Salomon Smith Barney, Inc. GE Life and Annuity Assurance Company Pacific Life Insurance Company Patrick T. Holt Nature of the Dispute: Customer vs. IVIember, Non-Mem

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Sandra L. Rizzo, individually and as the Beneficial Owner of the IRA FBO Sandra L. Rizzo vs. Names of Respondents Metiife Securities, Inc., an affiliate of Metropolitan Life Insurance Company, a/k/a Metiife, Inc., and Metropolitan Life Insurance Company Case Number: 07-01276 Hearing Site: Pittsburgh. Pennsylvania NATURE OF THE DISPUTE

AWARD FINRA Dispute Resolution in tlie Matter of the Arbitration Between: Name of Claimant Joiin Babaiis vs. Case Number: 07-00213 Hearing Site: Charleston, West Virginia Names of Respondents Raymond James Financial Services, Inc., Kevin B. Graiiam, and Tliomas D. Hanrington NATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES John Babaiis ("Claimant") was represented by Timothy A. C

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02669 Gerald K. Crawford, ("Claimant") vs. Ameriprise Financial Services, ("Respondent") ATTORNEYS: Claimant appeared pro se, Salinas. CA. For Respondent appeared in-house counsel David Flower. Minneapolis. MN. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 5. 2007 CASE SUMMARY: Claimant alleged that Respondent failed to disclose facts regarding investments. Claimant

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02691 John A. Maisano, ("Claimant") vs. UBS Financial Services Inc. and Judson Sibley Potter, ("Respondents") ATTORNEYS: Claimant appeared pro se, Winchester, MA. For Respondents appeared in-house counsel Tracey Salmon-Smith, Esq., New York. NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: September 11, 2007 CASE SUMMARY: Claimant alleged that Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jason Cohen, individually, and on behalf of Oracle Services, Inc., FBO Jason Cohen (Claimants) vs. UBS Financial Services, Inc. (Respondent) Case Number: 07-00114 Hearina Site: New York. New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Jason Cohen, individually, and on behalf of Oracle Services, inc.. FBO Jason Cohen, hereinafter referre

AWARD FINFiA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mehrdad Pourfariiadi vs. Name of Respondent ETrade Securities, LLC Case Number: 07-00068 Hearing Site: Columbus, Ohio NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Mehrdad Pourfariiadi ("Claimant") was represented by Marceil Rose Anthony, Esq., Law Offices of Marceil Rose Anthony, Columbus. Ohio. E*Trade Securities