Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04113 Steven A. Smith and R. Alex Smith Names of the Respondents Hearinq Site: Jackson, Mississippi UBS Financial Services a/k/a Paine Webber Gregory K. Swanson Putnam Retail Management, LLP American Funds - Washington Mutual Investors Fund Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01871 Citigroup Global Marl^et Holdings, Inc. Citigroup Global Markets, Inc. d/b/a Smith Barney Name of the Respondent Hearing Site: Atianta. Georgia Christopher W. Keelin Nature of the Dispute: Non-Member and Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Maricet Holdings. Inc. ("CGMH") and Cit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05400 Banc of America Investment Services, inc. Name of the Respondent Hearinq Site: Raleigh, N.C. Eric Rivenbark Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc. ("BAI"). hereinafter referred to as "Claimant": Diane C. Fischer. Esq., Kane & Fischer. Ltd.. Chicag

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Leona Levitan Arieen Bronstein Susan Goodman JT TEN Names of the Respondents Prudential Equity Group. LLC David Pike Douglas Damrow Daniel O'Shea Case Number: 06-05397 Hearina Site: Boca Raton. FL Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Leona Levitan, Arieen Bro

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jean Robinson vs. Names of Respondents Wedbush Morgan Securities Inc.. Torrey Pines Securities. Inc.. and Christopher D. Olson Case Number: 07-00753 Hearing Site: Milwaukee. Wisconsin NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Jean Robinson ("Robinson" or "Claimant") was represented by Tere

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John Nicholas Terzis vs. Case Number. 07-00017 Hearing Site: Chicago, Illinois Names of Respondents Raymond James Financial Services, Inc., Joseph Eldon Johnson, and Midwest Financial & Investment Services, Inc. NATURE OF THE DISPUTE Associated Person vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES John Nicholas Terzi

FINRA DISPUTE RESOLUTION MODIFIED AWARD FINRA DISPUTE RESOLUTION CASE: 07-01589 Fiduciary Trust Co NH Cust, IRA Rollover. FBO John P. Lake, ("Claimant") vs. Waddell & Reed. Inc. and Jeff L. Whitaker, ("Respondents") ATTORNEYS: Claimant appeared pro se, Hemet, CA. For Respondents appeared Jill W. Lens, Esq., of the firm Blackwell Sanders Peper Martin, LLP, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02532 Edward D. Jones & Co., L.P., ("Claimant") vs. Giovanni Difiore, ("Respondent") ATTORNEYS: For Claimant appeared Christopher A. Pickett, Esq., of the firm Goldbert Wehrle LLC, St. Louis, MO. For Respondent appeared Gary J. Fernandez, Esq., of the firm Gary J. Fernandez & Associates, Ltd., Glen Ellyn, IL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 30, 200

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02020 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Claimant") vs. Vanessa Rivera-Laboy, ("Respondent") ATTORNEYS: " ' '~~~' For Claimant appeared W. Jared Rlssler, Esq., of the fimi Kutak Rock LLP, Atlanta, GA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 5, 2007 CASE SUMMARY;

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Patricia McEvoy (Claimant) vs. Merrill Lynch. Pierce. Fenner & Smith, Inc., Marcel Wagner, and Gregory M. Wagner (Respondents) Case Number: 04-04140 Hearinq Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Patricia McEvoy ("Claimant"): Chad N. Cagan, Esq., Sonnenblick, Parker & Selvers, PC.